Market Conduct Compliance, Senior Analyst

AIA Australia; Hong Kong; On-site; HKD 420,000 - 720,000; Full time

Job summary

AIA Group in Hong Kong is seeking a Compliance Support professional to assist the Market Conduct Compliance team in ensuring regulatory alignment for AIAHK and Macau. The role focuses on mediation committees, reporting, and enhancing customer outcomes while upholding integrity and accountability.

The incumbent will work under guidance to monitor detection programs, support investigations of high-risk intermediaries, and ensure adherence to Group policies with a customer-first mindset.

Qualifications

• Bachelor’s degree required in accounting, finance, law or business.

Responsibilities

• Assist in Intermediary Disciplinary Committees including MCC and AB, and prepare reporting.
• Review and follow up on red flags and suspicious cases from detection and monitoring programs, including data analytics.
• Prepare required compliance reports and support Group policies in local aspects.

Education

Bachelor’s degree in Accounting, Finance, Law or Business

Job description

Start building a career with purpose.

At AIA, your perspective, curiosity and ideas can contribute to our Purpose of helping millions of people live Healthier, Longer, Better Lives. Across our diverse markets, you will learn through meaningful work, collaborate with experienced colleagues and build practical skills as you turn fresh ideas into positive outcomes and a more sustainable future for our customers and communities.

Join us to explore new possibilities, grow through real experiences and start making an impact across Asia.

About the Role

Support the Associate Director, Market Conduct Compliance team to ensure that AIAHK & Macau operates the in accordance with the AIA Group policies and guidelines and local regulatory requirements in these areas:

1. Assist in the Intermediary Disciplinary Committees including Market Conduct Committee ("MCC"), Appeal Board ("AB") and preparing the relevant reporting
2. Support the team in reviewing and follow up of the red flag / suspicious cases revealed from regular detection and monitoring programs including data analytic and detection tools
3. Prepare the relevant reports and submission
4. Support 1st line to comply with the Group standards and regulatory requirements implemented under Market Conduct Compliance

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.

Roles and Responsibilities:

1. Assist in the Intermediary Disciplinary Committees including Market Conduct Committee ("MCC"), Appeal Board ("AB") and preparing the relevant reporting (30%)
   • a. Assist the MCC and AB agenda, meeting schedule, materials, settlement memo and register
   • b. Update and maintain the Terms of reference of the MCC and AB
   • c. Coordinate the communication of the MCC and AB decision
   • d. Prepare the disciplinary letters for sales intermediaries
   • e. Follow up the execution of the MCC and AB decision and relevant remedial actions
   • f. Prepare the relevant reporting on the disciplinary.
2. Support the Team in reviewing and follow up of the red flag / suspicious cases revealed from regular detection and monitoring programs including data analytic and detection tools (30%)
   • a. Use the data analytic tool to monitor trends of sales conduct and identify high risk cases for investigation.
   • b. Assist in investigation for high risk sales intermediary
   • c. Assist in Compliance review and monitoring (e.g. sampling) on the sales intermediary controls
3. Assist in Sales Compliance reporting and Review (20%)
   • a. Assist in Sales Compliance reporting and Review
   • b. Prepare the required sales compliance report
4. Assist in relevant Group policies and guidelines in local aspect (10%)
   • a. Assist Market Conduct Compliance team to coordinate the relevant controls, investigation and reporting process with relevant departments according to the Group Guidelines
5. Other tasks (10%)
   • a. Assist Associate Director, Market Conduct Compliance on other compliance tasks
   • b. Ad hoc tasks assigned by Associate Director, Market Conduct Compliance e.g. MCC TOR review, projects.
   • c. Backup roles of other teammates
   • d. Reporting tasked by Head of Compliance and Associate Director, Market Conduct Compliance

Minimum Job Requirements:

• Bachelor’s degree in Accounting, Finance, Law or Business with a minimum of 2 years solid working experience in the financial services industry focused on compliance, risk management, legal and/or internal controls
• Professional qualification in life insurance, Compliance, Internal Audit or related disciplines is preferred
• In-depth understanding of insurance business is preferred
• Good interpersonal and communication skills and self-motivated.
• Good written and spoken communication skills in English and Chinese.
• Independent and be able to work under pressure
• Be organized, detail-oriented and with good problem solving skills
• High level of integrity and take ownership and accountability of results

The incumbent is required to obtain relevant license if the job involves in regulated activities.

Build a career with us as we help our customers and the community live Healthier, Longer, Better Lives.

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