Head of Compliance

7 days ago

Taipei Taipei City, Taiwan AIA Full time

Implementation of Compliance Program

  • Responsible for the overall design, implementation and ongoing enhancement of AIA Taiwan's Compliance Program that is focused on regulatory, investments and sales (market conduct) compliance, whilst ensuring its alignment with Business objectives and Group Compliance's strategic directions.
  • Oversee the implementation of an effective compliance risk assessment program for AIA Taiwan and engage with key business stakeholders which includes but not limited to
  • Ensuring key regulatory and ethical risks (including emerging risks) are identified and managed and Compliance resources are appropriately directed and;
  • Working with all three lines to implement a risk control framework and provide independent and solutions-focused advice on compliance and ethics matters.
  • Represent AIA Taiwan Compliance in Group Compliance initiatives through active participation and liaison work.
  • Responsible for the development of relevant Compliance policies and procedures necessary to support the objectives and values of AIA Taiwan and for the implementation of corporate policies and procedures to manage corporate-level regulatory risks.

Reporting and Monitoring

  • 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.
  • Oversee compliance reviews performed on the business unit, departments and branches / sales offices and provide solid support to the monitoring program and assurance on the implementation of remedial actions on any non-compliance issues.
  • Develop and implement a structural approach and procedures to effectively deal with suspected instances of compliance policy violations by employees and/or fraud and misappropriations by agents, from receiving allegations to planning and conducting investigations

Serve as designated AML Compliance Officer, responsible for:

  • Developing local policies and guidelines designed to ensure compliance with higher of the AIA Group requirements or local regulatory requirements;
  • Working with the business to implement robust AML monitoring procedures and sanctions screening procedures;
  • Implementing robust procedures for staff and external sales force to raise Suspicious Transactions Reporting (STR); investigating STRs and undertaking external regulatory reporting as required.

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