Market Conduct Compliance, Senior Analyst

Hong Kong·Hk-Aia Hong Kong & Macausenior

Legal & ComplianceCompliance

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Quick Summary

Key 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,

Requirements Summary

1. Assist in the Intermediary Disciplinary Committees including Market Conduct Committee (“MCC”), Appeal Board (“AB”) and preparing the relevant reporting 2.

Technical Tools

Legal & ComplianceCompliance

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

~1 min read

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.

Responsibilities

~1 min read

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.

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

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

Requirements

~1 min read

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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