Investment Compliance, Consultant

About the Role

Responsible to provide support to the registered Compliance Officer of APAM and work as a second line of defense in partnership with the business (as first line of defense) to ensure that all regulatory and market conduct risk is efficiently and effectively assessed, mitigated and controlled and that a culture of ethics and compliance is developed and maintained in respect of the organization’s business in support of APAM’s profitability and sustainable growth objectives.

Roles & Responsibilities

• Implementation of compliance program
• Support the implementation and ongoing enhancement of APAM's Compliance Program that is focused on Anti-Money Laundering (AML), regulatory, investments, product and sales (market conduct) compliance, whilst ensuring its alignment with business objectives, AIA Group Operating Principles and Group Compliance's strategic direction.
• Support the implementation of an effective compliance risk assessment program for APAM and engage with key business stakeholders.
• Implementation of culture of compliance and ethics programs
• Implement an effective education program through ongoing communication and training to embed a culture of compliance and ethics within APAM.
• Reporting and monitoring (as second line of defense)
• Responsible for the effective communication of compliance matters including timely and accurate reporting and / or escalation of such matters in accordance with relevant reporting and escalation protocols, including regular reporting to the registered Compliance Officer of APAM on compliance risk, issues and activities.
• Responsible to perform compliance reviews on business units, departments and branches / sales offices.
• Support the development of structural approach and procedures to effectively deal with suspected instances of compliance policy violations by employees and / or fraud and misappropriations by intermediaries, from receiving allegations to planning and conducting investigations.
• Others
• Perform other responsibilities and duties periodically assigned by the supervisor / APAM Compliance Officer in order to meet operational and / or other requirements.

Minimum Job Requirements

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