Job Description

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

The role is responsible for performing second‑line investment compliance oversight, including daily post‑trade monitoring, rule‑coding accuracy checks, breach escalation, and market‑abuse surveillance. It also administers Personal Dealing compliance, conducts monitoring and assurance reviews under the annual compliance plan, and performs e‑communication surveillance for potential misconduct. Additionally, the role supports audits, system enhancements, senior‑management reporting, provides subject‑matter expertise, and guides junior team members while continuously improving monitoring processes and controls.

1) Post trade compliance monitoring

• Perform and coordinate daily post‑trade compliance monitoring using Bloomberg and Aladdin compliance modules.

• Interpret investment guidelines and ensure accurate compliance rule coding and account setup.

• Identify incorrectly coded rules, propose corrections, and support testing of updated rules.

• Review and investigate compliance exceptions, escalate breaches, and monitor rectification progress.

• Maintain strong understanding of pre‑trade and post‑trade monitoring concepts, rule types, breach implications, and reporting requirements.

• Develop and maintain second‑line trade oversight and market abuse monitoring (equities and fixed income) using Bloomberg TCA/ Virtu by ITG or equivalent tools.

• Leverage prior experience in Aladdin/Bloomberg rule coding to enhance monitoring accuracy (preferred).

2) Personal Dealing compliance monitoring

• Administer the Personal Dealing Standard/policy which includes but not restricted to -

• Review of broker account statements.

• Review of monthly personal trading transactions.

• Investigate any Personal Dealing breaches.

• Perform, or support, the role of the Personal Dealing monitoring tool system administrator.

3) Annual Investment Compliance Plan and Quality Assurance

• Execute and/or lead monitoring and assurance activities in line with the Annual Investment Compliance Plan.

• Ensure all monitoring work is properly documented with complete evidence and audit‑ready standards.

• Support Group Investment Compliance in conducting Quality Assurance reviews across Business Units and Asset Management Companies.

4) E-Communication Surveillance

• To carry out monitoring and surveillance on alerts generated in the surveillance system.

• Understand the lexicons and jargons used by investment teams to enhance the lexicon universe.

• Document trails and participate in investigations for potential market abuse incidents.

Ad-hoc activities:

• Contribute or lead to ad-hoc compliance initiatives and system enhancement projects.

• Prepare presentation materials and support delivery of updates to senior management and stakeholders.

• Represent Investment Compliance Centre of Excellence (ICCOE) in meetings with internal and external partners.

• Act as Subject Matter Expert (SME) on relevant compliance topics, tools, and processes.

• Provide task guidance, technical coaching, and knowledge support to junior team members, including reviewing analysts’ work for accuracy and adherence to standards.

• Support workload planning and task allocation, ensuring effective prioritization during peak monitoring periods.

• Coordinate with Group Investment Compliance, Internal Audit, and key stakeholders on reviews, information requests, thematic assessments, and audit preparedness.

• Enhance monitoring methodologies, rule‑coding governance, and surveillance processes by recommending and implementing improvements to systems, controls, and workflows.

Job Requirements:

• Degree in Accounting, Finance, Economics, or Business Management.

• Minimum 8 years of experience in investment compliance or related roles.

• Strong understanding of financial instruments, including derivatives.

• Broad regulatory knowledge: MAS, UCITS, HK SFC, FATCA, etc.

• Understanding of Private Assets investments is an advantage.

• Experience in Quality Assurance and compliance monitoring/control testing.

• Experience in communication surveillance preferred.

• Knowledge of investment compliance systems: Shield / BBG / Aladdin / StarCompliance is a plus.

• Proven ability to apply sound judgment when escalating compliance or market abuse risks.

• Demonstrated leadership, coaching, or mentorship abilities,

• Strong presentation and reporting skills.

• Strong stakeholder management skills to engage with First Line, Second Line and Third Line.

• Proven ability to review and challenge work performed by others, ensuring adherence to standards.

• Highly articulate, consultative, and tech‑savvy with strong attention to detail ability to manage multiple deadlines

• Strong project management skills to support compliance initiatives.

• Fluency in English; other languages (Mandarin, Cantonese, Thai, Tagalog) are an added advantage.

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.