Sr. Manager, Compliance

2 weeks ago

Makati City, National Capital Region, Philippines AIA Philippines Full time

The Head of Compliance is responsible for leading the compliance function at AIAIM PH and overseeing the compliance program under the Governance Framework of AIAIM PH. The Head of Compliance is also the designated local anti-money laundering officer, local data privacy officer and local FATCA Responsible Officer of AIAIM PH while providing appropriate second line support to the first line as a member of AIAIM PH's Executive Committee to properly implement the controls (i) embedded within the local policies and procedures as envisaged under the Governance Framework of AIAIM PH and (ii) reasonably designated to enable AIAIM PH to demonstrate compliance with the applicable local regulatory requirements

Lead the Compliance Function – Lead a strong compliance function while covering the following duties:

Implement and administer a robust compliance monitoring program to ensure that all local monitoring activities are properly identified, documented and performed under a risk-based approach with the monitoring results timely reported in accordance with the relevant local policies and procedures established under AIA's Investment Governance Framework ("IGF") as well as the applicable local regulatory requirements.


•Oversee the implementation of the internal personal dealing requirements at AIAIM PH and monitor the personal dealing activities of the local Access Persons and their Associated Persons while demonstrating compliance with the relevant local regulations.


•Manage the internal disclosure of interest reporting requirements covering the corresponding local monitoring, communication and filing activities while demonstrating compliance with the relevant local regulations.


•Administer the internal licensing and other regulatory reporting requirements while demonstrating compliance with the relevant local regulations.


•Implement controls reasonably designed to demonstrate compliance with the AIA Group's Code of Conduct.


•Act as the local anti-money laundering officer, local data privacy officer and local FATCA Responsible Officer and prepare the corresponding local policies and procedures with appropriate controls embedded therein pursuant to the applicable internal Group-wide requirements as well as the relevant local regulations.


•Offer regulatory compliance advice to the first line so as to support the first line to make informed decisions and to anticipate, assess, control and mitigate regulatory and reputation risks.


•Liaise with industry and regulatory bodies as appropriate.


•Monitor local regulatory developments and/or amendments and provide constructive feedback to AIAIM PH's Executive Committee and Board so as to further enable AIAIM PH to take appropriate follow-up actions in a timely manner.


•Conduct induction sessions on local policies and procedures owned by the compliance function. Oversee Ongoing Investment Compliance with Support of Investment Compliance Centre of Excellence at AIAIM – Demonstrate compliance with all applicable investment restrictions, requirements and limits as specified in the relevant internal, contractual, regulatory and/or statutory requirements while covering the following duties:

Oversee the appropriate and comprehensive documentation of client investment mandate requirements to further facilitate post-trade compliance monitoring.


•Provide feedback and, where appropriate, acknowledgements to the first line responsible for setting up the corresponding automated controls before such controls are implemented in the production environment.

Perform Second Line Oversight of Errors & Breaches –Perform second line oversight of the handling and reporting of errors and breaches and coordinate with local regulator(s) in a timely and appropriate manner as and when required while covering the following duties:


•Provide second line feedback on potential regulatory implications arising from breaches and errors (if any) as well as on the corresponding preventative measures in accordance with the local policies and procedures established under the IGF as well as the applicable local regulatory requirements.


•Manage independent fact-based investigations of errors and breaches in a timely and robust manner as and when required.


•Work with management to put in place appropriate follow-up actions to rectify common breaches (if any) and to avoid recurrence. Collaboration and Communication – Build confident relationships based on trust and reliability with all relevant stakeholders while covering the following duties:
•Work closely with other members of AIAIM PH's Executive Committee to address compliance issues in a timely and appropriate manner.


•Facilitate risk awareness among employees throughout AIAIM PH taking into account the relevant standards, policies and procedures established under IGF as well as the applicable local regulatory requirements.


•Work closely with the local Legal & Governance team and the Internal Audit team on compliance issues.


•Work closely with members of the Group Investment Compliance function as well as other Country Investment Compliance Leaders on group-wide investment compliance initiatives.


•Provide second line feedback to Group Internal Audit on investment-related matters.


•Act as the primary point of contact for local regulatory inspections and/or reviews.

Internal Member of the Board and/or internal committees to report on compliance matters at the relevant Board and/or committee meetings. Communication of goals, priorities and issues at department meetings. Interactions with Group Investment Legal & Governance, Group Risk & Compliance and other group functions (such as Group Internal Audit). External Communications with local regulators, relevant authorities, industry bodies and other stakeholders

Minimum Job Requirements:


•A degree holder in Legal, Risk Management, Business Administration, CFA or related principles with solid experience in Investment Compliance. Experience in internal audit / risk management would be an added advantage.


•15 years of working experience within an asset management business in an oversight or compliance role.


•Experience in dealing with regulators.


•Good knowledge and hands-on experience in investment compliance systems.


•Highly motivated self-starter, excellent organisational skills and strong attention to detail, conscientious and flexible, good interpersonal and communication skills.


•Ability to handle multiple tasks, plan time and meet deadlines, collaborative mentality, along with the gravitas to work closely with senior stakeholders.


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