Investment Compliance, Principal

Job Summary:

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 task is to perform checking, monitoring in investment-related activities of Life Fund Investment and providing compliance consultation/advice to business process owners and relevant parties on relevant tasks and act as subject matter expert in Investment Compliance area.

Roles and Responsibilities:

• Set up Regulatory Compliance for investment compliance function on Life Fund, Pension and Unit-Linked Business i.e.

-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 to address such changes

-Perform checking, monitoring of Life fund investment to ensure investment activities are in compliance with all applicable laws and internal policy.

• Provide advice, support, and coordinate to relevant parties for investment compliance function on Life Fund Business, Pension Business and Unit-Linked Business.
• 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 business, investment management business and Unit-Linked business)
• Knowledge in the regulations of insurance business, investment management business and Unit-Linked business
• Experience with compliance and/or trading systems
• Good Communication and interpersonal skills
• Good command of English
• Professional certification at least Head of Compliance (AMC Course) and others such as AML/Data Privacy etc. are preferable

In accordance with recruitment policy and hiring standard of AIA (Thailand) Company Limited, after completing the selection process, you are required for criminal background check before joining the company. Your criminal record information will be retained according to the PDPA policy of the company. As per attached link [https://www.aia.co.th/th/about-aia/privacy/candidate]