FIND YOUR BETTER AT AIA
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About the Role
Responsible for supporting the Head of Group Compliance on the effective implementation of Sales and Corporate Compliance Programme in AIA Group, including:
. Implementation of the Group Compliance policy and framework requirements
. Advising Group stakeholders and BUs on Group policies and framework requirements
. Building BU Compliance teams capabilities in sales and corporate regulatory compliance. This includes providing practical guidance and direction for BUs
Key responsibilities include:
1.Group Sales Compliance Programme - Design, Oversight and Effectiveness
- Act as a key Group Compliance SME to support the design, implementation and ongoing enhancement of the AIA Group Sales Compliance Programme, ensuring alignment with Group Compliance Policy, Business Quality Frameworks and applicable regulatory expectations across AIA Group entities,
- Lead the development, maintenance and continuous improvement of Group-level Sales Compliance frameworks, including Group Policies and Standards, Business Quality Frameworks, risk taxonomy, key risk indicators (KRIs/KRTIs), metrics and management information to assess programme effectiveness and outcomes.
- Provide second line oversight and credible challenge to second- and first-line Sales and Distribution SMEs in BUs on sales conduct risks, emerging trends, remediation sustainability and effectiveness of mitigating controls, leveraging structured Sales Conduct Assessments, QA reviews and thematic analyses.
- Oversee the implementation of Group-wide second line monitoring and assurance activities including QA reviews, targeted thematic reviews, mystery shopping oversight, and data driven assurance, to provide independent assurance to Group Compliance and senior management.
2.Corporate Compliance Framework - Governance, Risk Management and Assurance
- Support effective implementation of the AIA Group Compliance Framework, in line with HKIA principles and international standards, with a particular focus on compliance governance, regulatory change management, ongoing compliance, assessments, reporting and certification.
- Provide Group-level oversight of compliance risk management processes, including regulatory risk identification, KRIs, Control Environment Assessments and Risk & Control Assessments, ensuring consistency, quality and effective escalation across Group and Business Units.
- Contribute to the development of high-quality management information, dashboards and reporting to Group Compliance leadership, senior management and governance committees, enabling effective oversight of compliance risks, trends and programme effectiveness.
- Provide support on key initiatives (eg MRT Framework and Accountability Regime) across Group compliance and broader risk SMEs.
Building BU Compliance Capabilities. This includes:
- Training and communication
- Support Group Compliance assurance activities, including risk-based compliance monitoring and testing programs, oversight of findings, repeat issues and thematic trends, and effective follow up of remedial actions across BUs.
- Oversee and challenge the management of regulatory incidents and issues, including incident reporting, escalation thresholds, root cause analysis, remediation tracking and validation of closure, ensuring alignment with Group standards and transparency to governance committees.
Minimum Requirements
- Approximately 15 to 20 years relevant experience in financial services industries in Asia
- University graduate in Business, Accounting, Finance, or equivalent qualification (compliance, risk management or similar disciplines)
- Expertise in navigating across multi-geographic cross-border teams, and across multiple Group and BU stakeholders (ExCo level)
- Demonstrated knowledge of laws and regulations in Asia
- Strong leadership and influencing skills
- Capable of driving deployment of technology, digital tools, and data analytics
- Excellent communication skills (written and spoken)
- Excellent analytical, logical, and organizational skills
- Integrity, decisiveness, and good judgment under pressure
- Ability to confront conflict and difficult issues in a professional, assertive, and proactive manner
