Investment Compliance, Principal

About the Role

The Investment Compliance assists Associate Director and Compliance Head to develop, implement and oversee the quality assurance and regulatory compliance SEC/AIMC/OIC regulations (only those in association with Investments and Unit-Linked business). Additional tasks include performing checking and monitoring of investment-related activities of Life Fund Investment and providing compliance consultation/advice to business process owners and relevant parties, acting as subject matter expert in Investment Compliance area.

Responsibilities

• Set up regulatory compliance for the investment compliance function for Life Fund, Pension and Unit-Linked business.
• Maintain and update all relevant regulatory requirements and associated control measures.
• Identify and review the relevance and implications of new or amended legislation, regulations, and notifications from regulators.
• Update local and group Investment Compliance for changes in regulatory requirements and ensure management takes appropriate actions.
• Perform checking and monitoring of Life Fund investments to ensure activities comply with all applicable laws and internal policy.
• Provide advice, support, and coordination to relevant parties for investment compliance across Life Fund, Pension and Unit-Linked businesses.
• Provide compliance training and support on investment-related regulations, policies, and procedures.

Qualifications

• Degree holder with over 10 years’ experience in compliance or similar roles (preferably in insurance, investment management and Unit-Linked business).
• Knowledge of regulations for insurance business, investment management and Unit-Linked business.
• Experience with compliance and/or trading systems.
• Good communication and interpersonal skills; good command of English.
• Professional certification such as Head of Compliance (AMC Course); AML/Data Privacy certifications are preferable.

Additional Information

In accordance with recruitment policy and hiring standards of AIA (Thailand) Company Limited, after completing the selection process you are required to undergo a criminal background check before joining the company. Criminal record information will be retained according to the company's PDPA policy.