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Provide primary support on compliance and secondary support on risk management.
Ensure AIM's activities are conducted in accordance with policies and procedures under the Investment Governance Framework (currently 40+) as well as standalone local policies.
Conduct compliance monitoring against AIM's policies and procedures.
Monitor investment restrictions and guidelines, trade surveillance, AML, Sanctions, FATCA, etc.
Review breaches/errors/ incidents, assess their impact, identify root causes, recommend remedial and preventative actions, ensure timely resolution and capture lessons learnt. Update policies and procedures where needed.
Maintain registers relating to regulatory obligations and regulatory reporting, among others.
Advise on personal dealing, gifts and entertainment, outside business interests, conflicts of interests and other issues under the AIA Code of Conduct.
Review marketing materials relating to AIM's products and services (such as Luxembourg UCITS SICAV).
Prepare internal reports to CEO, Board of Directors and Group Risk & Compliance as well as external reports to regulators.
Assist in internal and external audits (such as ISAE 3402 and annual audits) and in regulatory inspections.
Assist in review of risk and control assessments (RCAs), outsourcing documents and business continuity plans prepared by various departments.
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.