Market Conduct Compliance, Senior Analyst

AIA; Hong Kong; In loco; HKD 600.000 - 1.000.000; Tempo pieno

Descrizione del lavoro

AIA in Hong Kong is seeking a detail‑minded Associate Director, Market Conduct Compliance, to help ensure regulatory alignment across Hong Kong and Macau. You will support disciplinary committees, oversee detection programs and prepare essential reports, while embedding a customer‑first mindset across teams and processes.

With a bachelor’s degree and 2+ years in financial services compliance, you will collaborate with stakeholders, coordinate investigations, and assist with group policies under

Competenze

• Bachelor’s degree in Accounting, Finance, Law or Business with at least 2 years in financial services compliance, risk management, legal and/or internal controls.
• Professional qualification in life insurance, Compliance, Internal Audit or related disciplines is preferred.
• Good interpersonal and communication skills; fluent in English and Chinese.
• Independent, organized, detail-oriented and with good problem solving skills.

Mansioni

• Assist in the Intermediary Disciplinary Committees including Market Conduct Committee (MCC), Appeal Board (AB) and preparing the relevant reporting (30%).
• Assist MCC and AB agenda, meeting schedule, materials, settlement memo and register; update Terms of Reference; coordinate communications; prepare disciplinary letters; follow up decisions and remedial actions.
• Support in reviewing and following up red flags / suspicious cases from detection and monitoring programs including data analytics tools; monitor trends and identify high risk cases for investigation.
• Assist in Compliance review and monitoring (e.g. sampling) on the sales intermediary controls; assist in Sales Compliance reporting and Review.
• Assist in relevant Group policies and guidelines in local aspect; coordinate controls, investigations and reporting with relevant departments according to Group Guidelines.
• Handle ad hoc tasks and backups as required by Associate Director, Market Conduct Compliance; participate in MCC TOR reviews and projects.

Conoscenze

Communication

Bilingual English/Chinese

Self-motivated

Problem solving

Integrity

Organized

Formazione

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

Professional qualification in life insurance / compliance

Knowledge of insurance business

Descrizione del lavoro

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:

• Assist in the Intermediary Disciplinary Committees including Market Conduct Committee (“MCC”), Appeal Board (“AB”) and preparing the relevant reporting
• 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
• Prepare the relevant reports and submission
• 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

• Assist in the Intermediary Disciplinary Committees including Market Conduct Committee (“MCC”), Appeal Board (“AB”) and preparing the relevant reporting (30%)
  • Assist the MCC and AB agenda, meeting schedule, materials, settlement memo and register
  • Update and maintain the Terms of reference of the MCC and AB
  • Coordinate the communication of the MCC and AB decision
  • Prepare the disciplinary letters for sales intermediaries
  • Follow up the execution of the MCC and AB decision and relevant remedial actions
  • Prepare the relevant reporting on the disciplinary.
• 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%)
  • Use the data analytic tool to monitor trends of sales conduct and identify high risk cases for investigation.
  • Assist in investigation for high risk sales intermediary
  • Assist in Compliance review and monitoring (e.g. sampling) on the sales intermediary controls
• Assist in Sales Compliance reporting and Review (20%)
  • Assist in Sales Compliance reporting and Review
  • Prepare the required sales compliance report
• Assist in relevant Group policies and guidelines in local aspect (10%)
  • Assist Market Conduct Compliance team to coordinate the relevant controls, investigation and reporting process with relevant departments according to the Group Guidelines
• Other tasks (10%)
  • Assist Associate Director, Market Conduct Compliance on other compliance tasks
  • Ad hoc tasks assigned by Associate Director, Market Conduct Compliance e.g. MCC TOR review, projects.
  • Backup roles of other teammates
  • 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. You must provide all requested information, including Personal Data, to be considered for this career opportunity. Failure to provide such information may influence the processing and outcome of your application. You are responsible for ensuring that the information you submit is accurate and up-to-date.

"Better" starts with people who reimagine what is possible and turn ideas into meaningful action. At AIA, you will contribute in your own way, help shape outcomes that matter and collaborate with colleagues across disciplines, teams, markets and levels. We will support you to broaden your perspective, strengthen your capabilities and grow your impact. Together, we challenge assumptions, learn from one another and find better ways forward.

Bring your ambition, experience and ideas to AIA, and help shape what “better” looks like. View our AIA LinkedIn page Bring your difference to AIA