Investment Compliance, Consultant

AIA; Kuala Lumpur; On-site; MYR 150,000 - 230,000; Full time

Job summary

AIA Shared Services in Kuala Lumpur invites you to join our Investment Compliance team to help ensure funds across our group remain compliant with governance and regulatory standards.

As Associate Director, you will lead monitoring, review trade alerts, and advise on policy changes while coordinating investigations and remediation with stakeholders. The role requires strong leadership, regulatory knowledge and excellent communication in English.

Qualifications

• Bachelor’s degree in accounting, finance, business, actuarial science or law.
• CFA level certification or advanced stage is an advantage.
• Minimum 3 years’ experience in investment/compliance in fund management/insurance sectors.

Responsibilities

• Conduct and oversee investment compliance monitoring per plan and standards.
• Review pre-trade alerts per procedures and escalate complex exceptions.
• Review proposed compliance rule changes and assess impact.
• Manage communication surveillance using Bloomberg Vault and other tools.
• Lead investigations of investment compliance breaches and coordinate remediation.
• Review marketing and disclosure materials for funds to ensure fairness and accuracy.
• Engage with Compliance team to support regulatory changes.
• Provide compliance advisory to Investment Management and stakeholders.
• Support enhancements of processes, controls, and automation.
• Act as Business Continuity Coordinator for the team.
• Guide and support team members and perform other duties.

Skills

Investment compliance

Bloomberg CMGR

Bloomberg BTCA

Aladdin

Regulatory knowledge

Leadership

Communication

MS Excel

Power BI

English communication

Education

Bachelor’s Degree in Accounting/Finance/Business/Law

CFA level (advantage)

Tools

Bloomberg CMGR

BTCA

Aladdin

Job description

Build a healthier and more sustainable future for everyone. 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

To support the Associate Director, Investment Compliance to ensure that all investment activities carried out by the AIA Bhd. Investment Management Team and AIA Pension & Asset Management Sdn. Bhd. are in accordance with the AIA Investment Governance Framework, AIA Group policies / standards and local regulatory requirements.

Roles and Responsibilities

• Conduct and oversee investment compliance monitoring in accordance with the Annual Investment Compliance Plan, Investment Compliance Monitoring Procedures, applicable regulations, and AIA Investment Standards to ensure investment activities of funds managed by AIA Bhd., AIA Public Takaful Bhd. (APTB), AIA General Berhad (AIAGB) and AIA Pension and Asset Management Sdn. Bhd. (APAM) remains compliant with internal and regulatory requirements.
• Review, acknowledge, and assess routine pre-trade alerts in accordance with approved operating procedures, investment mandates, and established regulatory interpretations, escalating complex or material exceptions where appropriate.
• Review and assess proposed compliance rule changes and monitoring parameter updates, including evaluating their impact on regulatory compliance, investment mandates, operational processes, and overall monitoring effectiveness, and provide recommendations for implementation.
• Manage the communication surveillance programme for the AIA Bhd. Investment Management Team, including monitoring conducted through Bloomberg Vault and other approved surveillance tools, and ensure potential misconduct, conflicts of interest, or policy breaches are appropriately investigated and escalated.
• Lead the assessment, investigation and resolution of investment compliance breaches, exceptions, and control deficiencies, including root cause analysis, coordinating remediation efforts with relevant stakeholders, and monitoring of corrective actions to ensure timely and effective resolution of issues.
• Review investment-related marketing materials and disclosure materials, including Monthly Fund Performance Updates, Fund Fact Sheets, and other investment communications for Investment-Linked Funds to ensure disclosures are fair, balanced, accurate, and compliant with applicable regulatory requirements and internal standards.
• Maintain effective engagement with the AIAGB Compliance team and other stakeholders to support the implementation of Group Investment Compliance initiatives, regulatory changes, and compliance controls within the local investment process.
• Provide compliance advisory support to the Investment Management team and other stakeholders on investment-related matters, including regulatory requirements, internal policies, investment restrictions, and compliance risk considerations. Promote awareness of regulatory developments, ethical standards, and compliance obligations through ongoing engagement and guidance.
• Support the continuous enhancement of investment compliance processes, monitoring frameworks, and controls, including participation in system enhancements, automation initiatives, and regulatory change projects.
• Act as the Business Continuity Coordinator for the Investment Compliance team and support the implementation and periodic testing of business continuity arrangements.
• Provide guidance and support to team members, and perform other responsibilities and duties periodically assigned by the supervisor to meet operational, regulatory, and/or business requirements.

Minimum Job Requirements

• Possess a Bachelor’s Degree in Accounting / Finance / Business / Actuarial Science / Law.
• A CFA level certification or at an advanced stage of completion will be an added advantage.
• Minimum 3 years’ working experience in the field of investment / compliance in fund management / unit trust / insurance industry.
• Good understanding of investment compliance and regulatory obligations and their application into business processes.
• Working knowledge of Bloomberg Compliance Manager (CMGR), Bloomberg Transactions Cost Analysis (BTCA) and/or Aladdin system.
• Strong managerial and leadership skills.
• Good interpersonal and communication skills.
• Self-motivated, independent, and sound problem-solving skills.
• Pro-active, demonstrates initiative & looks for area of improvement.
• Excellent computer skills i.e. Microsoft Office MS Excel, Word, PowerPoint, Power BI.
• Good written and spoken communication skills in English.
• Strong analytical and presentation skills

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

“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.