Risk and Compliance Manager (Investment/Asset Management)

Job Summary

The incumbent will support the Head of Risk and Compliance in establishing the Risk and Compliance framework with focus on Risk management for the function and Compliance monitoring program.

Roles and Responsibilities

• Responsible for driving and implementing the company’s compliance initiatives
• Develop, maintain and monitor the Compliance Plans and Risk Frameworks
• Developing and implementing a risk-based compliance monitoring program, identifying, assessing, monitoring and reporting all material compliance risks
• Provide experienced input into the development, management and maintenance of risk framework, incorporating management tools, techniques and reports to support the business.  These include, but are not limited to risk and control assessment, risk indicators and risk evaluation
• Resolve any compliance and risk issues and implement action plans to minimize and eliminate any future risks
• Ensure company employees are kept up to date and informed regarding company’s risk and compliance framework
• The incumbent will remain up to date with the regulatory requirements that regulates the function or its investments, and will administer the licensing of the appointed representatives of the function, as well as managing relevant statutory submissions that the conduct of the function business requires
• He/She will maintain and update the compliance manual for the function, administer the personal dealing requirements stipulated by the Group office for the function
• Review, approval and/or contribution to key documents e.g. IMAs, marketing material etc
• Identify and assess key emerging risks
• Investigating and reporting on actual or potential incidents and breaches
• Engagement with stakeholders and development of strong working relationships
• Work closely with Investment and management to ensure a strong comprehension of compliance obligations and risks
• Compliance Monitoring and Review
• Investigating and reporting on actual or potential incidents and investment breaches
• Review, approval and/or contribution to key documents e.g. IMAs, marketing material etc
• Other general business as usual duties

Job Requirements

• Degree in Business & preferably with professional compliance and risk qualifications
• Over 10 years of experience within a similar role within the financial services space
• Hands-on experience in implementing compliance and risk frameworks
• Good understanding of a wide variety of financial service products
• Understanding of the regulatory environment including SFC HK and Insurance Authority HK regulations
• Strong communication and interpersonal skills
• Resilient, hardworking and detail oriented

We offer an attractive remuneration package to the successful candidate.  Please submit your application by clicking “Apply Now” for our processing.

All personal information provided by applicant will be treated in strict confidence and used solely for recruitment purposes.  The personal information will be used strictly in accordance with AIA’s personal data policies, a copy of which will be provided upon request.  It is possible that information about the applicant or the applicant’s application will be shared with AIA and its related companies.  AIA will retain all applications for a period of up to 24 months after which the documents will be destroyed.