Senior Manager, Compliance (AIA Investment Management)

• Establishes, conducts, maintains and regularly enhances the Compliance Monitoring Program across AIAIM’s activities.

• Keep track of regulatory developments and changes and advise business on impact and advise business of regulatory changes, including those that affect AIAIM’s fund vehicles domiciled locally and overseas e.g. VCC funds, UCITS funds.
• Work with the Regulatory Compliance team on gapping changes proposed by MAS on rules affecting fund vehicles (e.g. fund registration, fund offering requirements, MAS Code of CIS, Advertising restrictions, CPFIG etc) and actively track developments from foreign regulators (e.g. UCITS rules) for offshore domiciled fund vehicles e.g. CSSF (through management company of the fund vehicle).
• Maintain regulatory development and reporting registers impacting the fund vehicles managed by AIAIM in internal registers or systems (e.g. Sunray).
• Review of marketing materials, fund prospectuses and offer documents.
• Review of new product approval forms/post launch review materials and following up with Funds team on compliance comments provided.
• Propose enhancements to the compliance monitoring framework for alternative investments invested by the fund vehicles.
• Management/Board reporting and review of policies and procedures including those that are specific to fund vehicles set up by AIAIM.
• Coordinate with other related entity(ies)’ Compliance & Risk function in respect of compliance advisory inputs for jointly-managed sub-funds registered in Hong Kong.

• Prepare and coordinate the submission of monthly compliance reports and provide responses to clients’ ad-hoc queries and participate in the periodic client annual reviews.
• Review and provide inputs from second line for new/revised Investment Management Agreement (IMA)/Sub-IMA, Investment Advisory Agreement or Dealing Services Agreement.
• Oversees the administration of and implementation of the guidelines and procedures under the AIA Investment Governance Framework (“IGF”) functionally owned by the Compliance function.
• Participates in Management Committee meetings (as required) to discuss compliance-related matters.
• Provide second line feedback on potential regulatory implications arising from breaches and errors (if any) in accordance with the local policies and procedures established under the IGF as well as the applicable local regulatory requirements and coordinate the reporting of such breaches and errors with local regulator(s) in a timely and appropriate manner (if reporting is deemed required).
• Work with Operational Risk Team to ensure any control gaps resulted from breaches and errors that constitute breaches of regulatory requirements are addressed adequately to prevent recurrence.
• Oversee and managing the personal trading activities of AIAIM employees to ensure compliance with regulations, internal policies and procedures to prevent insider trading or market abuse.

• Ensure proper sanctions screening process put in place for public investments (via Bloomberg CMGR or Aladdin) and for private investments (for third-party GP funds or direct investments) via appropriate systems.
• Ensure sanctions screening process are put in place by the Sourcing team for vendors/suppliers.
• Conduct sanctions screening in accordance with Group Economic Sanctions Standard for other required parties e.g. employees, contractors, brokers, customers and connected parties etc.
• Handle related queries from business or provide any routine or ad-hoc reports required by the Group.
• Update relevant internal policies and procedures or procure other departments to update their respective policies and procedures.

• Provide advisory support in relation to personal data protection and to review and enhance the policies, processes and controls surrounding personal data privacy.
• To perform Data Privacy Impact Assessment (“DPIA”).

• Assist Operations team and Trading team to advise on queries from counterparties regarding AIAIM’s AML/CFT/Sanctions/FATCA policies or processes to facilitate brokers account opening.
• Review new broker on-boarding request, including sanctions screening, FATCA compliant and Connected Person checks.

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