Business Sales Compliance and conduct Consultant

FIND YOUR 'BETTER' AT AIA

We don’t simply believe in being ‘The Best’. We believe in better - because there’s no limit to how far ‘better’ can take us.

We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make. So that together we can support even more people - including our own - to live Healthier, Longer, Better Lives.

If you believe in better, we’d love to hear from you.

About the Role

Business Compliance and Conduct Consultant plays a significant role in supporting the Distribution Business in the effective management of Compliance and Operational Risks. Being part of the Second Line of Defense in Risk Management’s Three Lines of Defense, this role will work together with other stakeholders of both AIA and BPI AIA distribution teams in increasing awareness of Risk and Compliance program initiatives and implement necessary framework & regulations within the organization. This position is focused on Second Line of Defense’s role in risk prevention and detection by monitoring and recommending enhancement to existing controls and procedures or creating controls and procedures to support risk migration in Distribution business.

• Work in a dynamic team of professionals where the key focus is on the analysis and action plan support on all Business Incidents, Audit Preparation and Resolution, Risk Control Self Assessments, as well as the support of Business initiatives involving Risk Management and Controls.
• Partner with other functions, especially marketing, to deepen culture of customer-centricity to ensure AIA treats customers fairly
• Monitor Market Conduct risk in the distribution business to ensure policies and regulations are adhered to.
• Provide oversight and support market conduct implementation and disciplinary process, including investigations and sanctions to the company’s distribution teams.
• Act as a subject matter expert and provide advisory/consulting capacity, to ensure that the message of risk migration and the enhancement of the Control framework is delivered to all aspects of the function/organization.
• Communicate Risk Management and Control awareness within the business units/functions through the execution of appropriate messaging and activities that align and support the enhancing of our Risk & Compliance framework
• Monitor 1st line in their Business Incident monitoring, independent investigation, remediation plan recommendations and reporting
• Perform independent second line control reviews on the functional operational teams, provide findings and recommendations to enhance controls and procedures.
• Provide recommendations in the execution of focused initiatives to deliver improved processes and controls as requested by the business.
• Develop strong relationships with key business stakeholders to help develop a thorough understanding of the business's risk profile and core processes and controls
• Perform project management activities associated with the Risk and Control initiatives within the function
• Identify areas of control weakness and work with Management in the resolution of those weakness through new tools, controls and procedures.
• In accordance with the relevant policies and procedures, prepare meaningful risk management reports to summarize results, and status on the implementation of the risk & compliance tools by various business units/functions.
• Create reports for management / Board meetings, review trends and analyze data pertaining to market conduct and sales compliance metrics.
• Create materials and provide training on market conduct for all distribution channels
• Oversee company’s Whistleblower program, ensuring that all cases are reviewed with utmost integrity aligned with company policy and addressed in a timely manner
• Handle Ad-hoc requests or inquiries from business units/functions related to the risk & compliance.

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.