Lead Specialist - Investment Compliance

At AIA we’ve started an exciting movement to create a healthier, more sustainable future for everyone.

It’s about finding new ways to not only better people's lives, but to better the communities and environments we live in. Encompassing our ambition of helping a billion people live Healthier, Longer, Better Lives by 2030.

And to get there, we need ambitious people who believe in playing an important part in shaping that future. People seeking unmatched career and personal growth opportunities, who are driven to work with, and learn from some of the most inspiring and supportive leaders in the business.

Sound like you? Then read on.

About the Role

The role is responsible for performing second‑line investment compliance oversight, including daily post‑trade monitoring, rule‑coding accuracy checks, breach escalation, and market‑abuse surveillance. It also administers Personal Dealing compliance, conducts monitoring and assurance reviews under the annual compliance plan, and performs e‑communication surveillance for potential misconduct. Additionally, the role supports audits, system enhancements, senior‑management reporting, provides subject‑matter expertise, and guides junior team members while continuously improving monitoring processes and controls.

Job Description:

1) Post trade compliance monitoring

• Perform and coordinate daily post‑trade compliance monitoring using Bloomberg and Aladdin compliance modules.

• Interpret investment guidelines and ensure accurate compliance rule coding and account setup.

• Identify incorrectly coded rules, propose corrections, and support testing of updated rules.

• Review and investigate compliance exceptions, escalate breaches, and monitor rectification progress.

• Maintain strong understanding of pre‑trade and post‑trade monitoring concepts, rule types, breach implications, and reporting requirements.

• Develop and maintain second‑line trade oversight and market abuse monitoring (equities and fixed income) using Bloomberg TCA/ Virtu by ITG or equivalent tools.

• Leverage prior experience in Aladdin/Bloomberg rule coding to enhance monitoring accuracy (preferred).

2) Personal Dealing compliance monitoring

• Administer the Personal Dealing Standard/policy which includes but not restricted to -

• Review of broker account statements.

• Review of monthly personal trading transactions.

• Investigate any Personal Dealing breaches.

• Perform, or support, the role of the Personal Dealing monitoring tool system administrator.

• Perform, or support, the role of the Personal Dealing monitoring tool system administrator.

3) Annual Investment Compliance Plan and Quality Assurance

• Execute monitoring and assurance activities in line with the Annual Investment Compliance Plan.

• Ensure all monitoring work is properly documented with complete evidence and audit‑ready standards.

• Support Group Investment Compliance in conducting Quality Assurance reviews across Business Units and Asset Management Companies.

4) E-Communication Surveillance

• To carry out monitoring and surveillance on alerts generated in the surveillance system.

• Understand the lexicons and jargons used by investment teams to enhance the lexicon universe.

• Document trails and participate in investigations for potential market abuse incidents.

Ad-hoc activities:

• Participate in ad-hoc team projects related to Investment Compliance initiatives and projects.

• Co-ordinate with Internal Audit or other stakeholders in terms of providing them information as and when requested.

• Prepare presentation materials and support delivery of updates to senior management and stakeholders.

Job Requirement:

• Degree in Accounting, Finance, Economics, or Business Management.

• Minimum 6 years of experience in investment compliance or related roles.

• Strong understanding of financial instruments including derivatives.

• Knowledge of regulatory environment such as MAS and FATCA.

• Knowledge of investment compliance systems: Shield / BBG / Aladdin / StarCompliance is a plus.

• Experience in conducting compliance monitoring or control testing.

• Strong judgment in escalating compliance or market abuse risks.

• Strong presentation and reporting skills.

• High attention to detail with ability to manage multiple deadlines.

• Strong project management skills to support compliance initiatives.

• Highly articulate, consultative, and tech‑savvy with strong attention to detail ability to manage multiple deadlines.

• Fluency in English.

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.