Operations Compliance Manager

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.

• Ensure proper implementation of the following:

  • Customer Identification (KYC)
  • Customer Due Diligence (CDD) and Enhanced Due Diligence
  • Alerts Monitoring and Reporting (CTR/STR)
• Periodically review of KYC records including conduct of CDD/EDD and ensures that AML standards are complied with, records/information are up to date and complete
• Prompt and appropriate disposition of alerts generated by the AML system and documents action taken
• Timely and accurate reporting of AML related reports such as but not limited to CTR, STR, etc.
• Conducts and directs assessment/review of controls, operating procedures, and compliance with policies and regulations and make necessary revisions or additions
• Ensures and assesses adequacy and effectiveness of Operations’ internal controls implementation and monitors compliance with policies and procedures
• Assists in designing effective processes to help ensure each business unit of Operations delivers strategies with the right balanced approached: innovative, compliant and helpful with its sales partners, that will support the achievement of the organization’s goals/targets
• Ensures operational and regulatory risks are managed well and escalates identified open items for resolution
• Assists the different units in Operations in performing risks identification and assessments
• Establish, maintain and update in a timely manner Operations’ risk register
• Track, monitor progress and ensure timely implementation of action items
• Report on a timely manner risk events and regulatory breaches
• Continuous monitoring & timely submission of KRIs
• Acts as Operations’ point person for all regulatory (compliance, audit and legal) matters.
• Coordinates all regulatory requirements and ensures compliance of units under Operations
• Ensures that all items within his/her scope are compliant with the various policies and guidelines of the following internal and external stakeholders, but not limited to Insurance Commission and AMLC
• Develop and implement programmes, policies, procedures and methods to establish, maintain and improve the quality standards of AIA's products, services and operations
• Conduct a wide range of quality control tests and analyses to ensure relevant products, services and processes meet or exceed specified standards and requirements
• May develop programmes or trainings to ensure that all the business units under Operations have an intricate understanding of all internal control guidelines and standards
• Act as team lead and checker/approver for Operations Compliance team
• Represents Operations in various committee meetings i.e. Functional Risk Management Meeting, Group Risk Management Committee, etc.​

• Maintains internal / multiple stakeholder relationships and ensures delivery of their business requirements and performance KPI’s on a regular basis
• On-time and accurate completion of Risk and Regulatory report requirements i.e. CTR/STR, risk assessments, control testing, etc.
• No significant audit/regulatory compliance findings

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

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