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About the Role

This role contributes to the delivery of customer outcomes that are reliable, thoughtful, and create meaningful impact for customers and society. The role holder is expected to embed a customer first mindset in all decisions and actions by developing a clear understanding of customer needs, taking end to end ownership to resolve issues, and working collaboratively across teams to continuously enhance the customer journey-both directly and indirectly.

Deputise AIMHK's Head of Compliance & Risk and provide senior, hands-on second-line oversight, advice and support (as both an experienced contributor and owner for the relevant tasks) for AIMHK (and also investment group companies if required) across compliance, risk management and AML/CTF matters. With the industry's best practice experience, ensure AIMHK operates in line with Hong Kong regulatory expectations (SFC and MPFA) and AIA Group-wide and Investment Governance Standards and Policies through effective monitoring and controls, issue management, governance reporting and stakeholder engagement.

Roles and Responsibilities:

Compliance Advisory (Investment Compliance, Regulatory Compliance and General Compliance)

Advise and provide senior oversight on portfolio management, trading, investment operations, investment advisory and marketing, SFC and MPFA licensing and product matters, and corporate functions to ensure compliance with regulatory requirements and internal AIA standards and policies.
Oversee and monitor/lead the monitoring of conflicts of interest, staff personal dealing, gifts and entertainment, market conduct /inside information controls, and best execution/trade allocation principles.
Review and provide constructive challenge on business initiatives, process changes and key documents from compliance and risk control perspectives. Support Head of Compliance & Risk and other members of senior management with a view to supporting company's business growth and enriching AIA's risk-aware and compliant culture.
Monitor/lead the monitoring of regulatory developments in Hong Kong and promptly report internally of implications to the company.

Risk Management (Financial and Operational Risks)

Support Head of Compliance & Risk to lead, and coordinate local risk management work including various risk assessments and risk committee's tasks provide second-line challenge on reports, processes and control effectiveness.
Maintain/lead the monitoring of KRIs, risk reporting and management information for local and group office's governance forums.
Oversee incident / breach management including assessment, escalation, root-cause analysis, remediation tracking and evidence-based closure.
Monitor/lead the monitoring of compliance and risk oversight work brought by the extensive delegated investment management functions to external fund managers.
Deputise Head of Compliance & Risk for tasks in various local and group office's governance forums.

AML/CTF Oversight

Lead and oversee various AML tasks including ad hoc and routine assessments, CDD/KYC and oversee control governance according to Hong Kong regulatory expectations and AIA standards.

Support internal reporting, oversight and documentation of FCC, ACB, sanctions / screening governance and escalation protocols.

Monitoring and Assurance

Support (as an experienced contributor) Compliance Monitoring and review according to the Investment Compliance Monitoring Plan. Document review materials and assist with the reporting of results and follow-up actions.
Assist with the co-ordination, communications with and responding to inquiries from / inspection or audit of regulators and internal audit team. Manage action plans and validate closure.
Maintain /update local C&R policies and monitoring procedures conduct Personal Dealing, Code of Conduct and AML awareness sessions promote strong risk-aware culture.
Practise as far as possible for streamlined and AI-enabled compliance and risk monitoring and controls with a view to achieving effective and efficient control results.

Minimum Job Requirements:

Degree in Law, Finance, Accounting, Economics, Risk or related discipline, with professional qualifications on related discipline preferred.

12+ years senior and hands-on experience in compliance, investment governance and controls, and/or risk management within asset management or financial services field in Hong Kong, with at least 3 years experience as a team lead. Experience as MIC and in dealing with board matters preferred.

Strong understanding in investment management activities, processes and use of trading systems, local regulatory requirements (SFC and MPFA), associated risk management work, and conflict/ conduct oversight.

Proven experience in compliance monitoring /testing, issue management (RCA and remediation), and governance reporting able to work independently and effectively.

Strong judgement, advising and liaison skills, independence and ability to provide constructive challenge/ influence to senior stakeholders.

Demonstrated history of adhering to the highest ethical and professional standards.

Ability for multitasking and excel in a dynamic environment under pressure.

Outstanding attention to detail combined with organisational and people skills.

Others:

You are required to obtain the relevant license(s) if your job involves regulated activities

Associate Director, Compliance & Risk