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At AIA, your skills, perspective and ideas can contribute to our Purpose of helping millions of people live Healthier, Longer, Better Lives. Across our diverse markets, you will take on meaningful challenges, collaborate with talented colleagues and help turn ideas into positive outcomes for our customers and communities.
Join us to shape what comes next, grow through new experiences and extend your impact across Asia.
About the Role
Join us as Senior Manager, Compliance at AIA Investment Management!
At AIA Investment Management, we believe in creating long-term value for our clients and communities. We are seeking for a Senior Manager, Compliance to join our team. In this role, you will be directly responsible for providing compliance advisory support across AIA Investment Management's business activities, products, and fund structures, driving critical outcomes that support compliance with applicable regulatory requirements, industry best practices, and effective regulatory governance.
Key Responsibilities
As part of our high-performing team, you will establish, conduct, maintain and regularly enhance the Compliance Monitoring Program across AIAIM’s activities in the following areas:-
1) Product Advisory
- Provide compliance advisory on fund vehicles, including VCC and UCITS funds, and assess the impact of regulatory developments.
- Review marketing materials, fund prospectuses and offer documents
- Review new product approval submissions and post-launch reviews.
- Support governance activities, including management reporting and policy reviews.
- Partner with regional stakeholders on compliance matters relating to fund products and structures.
2) Mandate / Business Compliance
- Conduct and enhance the Compliance Monitoring Programme across investment management activities.
- Support investment governance processes, including monitoring, breach management, and regulatory reporting.
- Review and provide compliance input on IMAs, sub-IMAs, investment advisory, and related agreements.
- Oversee employee personal trading activities and adherence to internal compliance requirements.
- Support client compliance reporting, annual reviews, and regulatory queries.
3) Sanctions
- Oversee sanctions screening processes for investments, counterparties, vendors, and other relevant parties.
- Provide sanctions-related advisory support and reporting to business stakeholders.
- Maintain and enhance sanctions-related policies, procedures, and controls.
4) Personal Data Protection
- Provide advisory support on PDPA and data privacy requirements.
- Conduct Data Privacy Impact Assessments (DPIAs) and enhance data protection controls and processes.
5) Broker & Counterparty Oversight
- Review broker and counterparty onboarding requests, including AML/CFT, sanctions, FATCA, and connected person checks.
- Provide compliance support on due diligence and onboarding-related queries.
Minimum Requirements
We are looking for professionals who possess:
- Degree holder with over 7 years of relevant all-round experience in compliance.
- At least 4 years of investment/securities compliance experience within asset management, investment management, unit trusts, mutual funds, or related financial services environments.
- Knowledge of investment trading and compliance monitoring platforms.
- Strong understanding of the business model of financial services, asset management business and MAS regulations.
- Experience across multiple asset classes across Equity, Fixed Income, Financial Derivatives and Alternative Investments including private equity, private credit, real estate, venture capital.
- Strong stakeholder engagement, influencing and collaboration skills.
- Good communications skills
Believe in better with AIA. If you work at AIA, you play an important part in this movement. Which is why we give you every opportunity to learn, grow and shape your career - your way!
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Build a career with us as we help our customers and the community live Healthier, Longer, Better Lives.
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