Investment Compliance, Consultant
Core
Ensure investment activities across AIA Bhd., AIA Pension & Asset Management, and related entities comply with internal governance frameworks and local regulatory requirements.
Role type
Investment Compliance Consultant
Builds
Investment compliance monitoring, communication surveillance, and regulatory adherence for managed funds
Domain
Insurance / Asset Management / Investment Compliance
Required skills
Investment compliance monitoring, regulatory interpretation, breach investigation, root cause analysis, marketing material review, stakeholder engagement, process enhancement, business continuity coordination
Preferred skills
CFA certification, Bloomberg Compliance Manager (CMGR) proficiency, Aladdin system knowledge, Power BI
Technologies
Bloomberg Vault, Bloomberg Transactions Cost Analysis (BTCA), Aladdin, Microsoft Office, Power BI
Responsibilities
Conduct investment compliance monitoring per Annual Investment Compliance Plan; Review and assess pre-trade alerts; Manage communication surveillance programme; Lead assessment and resolution of compliance breaches; Review investment-related marketing materials; Engage with local compliance teams; Provide compliance advisory support; Support system enhancements and automation; Coordinate business continuity testing.
Seniority
Mid-level, hands-on IC