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Head of Compliance - Financial Advisers

Posted: 2019-05-17

Customer Service Executive
Posted On
17th May 2019
Job Ref code
Job Description
Job Description :
  • Responsible for the overall design, implementation and ongoing enhancement of AIA FAs Compliance Program that is focused on regulatory, and sales (market conduct) compliance, whilst ensuring its alignment with Business objectives and AIAS Compliances strategic directions.
  • Responsible for overseeing the effective implementation, execution and monitoring of AML controls and programs in the Company; providing independent review of sales in fulfilling the Balanced Score Card requirements; and ensuring that all PDPA obligations are understood and adhered to by Company.
  • Responsible for the development of relevant Compliance policies and procedures necessary to support the objectives and values of AIA and for the implementation of corporate policies and procedures to manage corporate-level regulatory risks
  • Responsible for the effective communication of compliance and risk matters including timely and accurate reporting and/or escalation of such matters in accordance with relevant reporting and escalation protocols.

  • Collaborate closely with Sales team to ensure quality recruitment of representatives and putting in place controls and programs to monitor and ensure quality business brought in by the representatives.

  • Develop or oversee development of structural approach and procedures to effectively deal with representatives/sales staff misconduct, from receiving allegations to planning and conducting investigations to taking remedial/recovery actions.

  • Develop and implement an effective education and engagement program through ongoing communication and training to embed a culture of compliance and ethics within AIA FA

  • Responsible for structuring, leading, coaching and developing the compliance team to support the business and ensuring compliance deliverables.

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