Compliance Culture and Quality Assurance, Consultant

6 months ago


Ho Chi Minh City, Vietnam AIA Full time

FIND YOUR 'BETTER' AT AIA
- We don’t simply believe in being ‘The Best’. We believe in better - because there’s no limit to how far ‘better’ can take us._
- We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make. So that together we can support even more people - including our own - to live Healthier, Longer, Better Lives._

If you believe in better, we’d love to hear from you.

About the Role
- Successfully oversight Conduct risk which works as a second line of defense in partnership with business (as first line of defense) to ensure that conduct risk is efficiently and effectively assessed, mitigated, and controlled.
- Successfully build and promote the Compliance culture in the team, employee, and the Company’ sales forces.
- Efficiently identify improving areas or critical/ potential compliance issues related to non-sales activities to ensure sustainable business growth, including but not limit: Compliance metrics, holistic reviews, regular certification, and assurance.

1. Risk & Compliance Culture (40%)

1.1 Ethical Culture Initiatives (20%)
- Develop a road map of actions necessary to build a strong culture of ethics, risk and compliance across AIA Vietnam.
- Foster and embed a resilient risk-aware culture of ethics and compliance, shape individual and collective behaviors.
- Drive accountability: partner with the department heads, distribution channels to deliver Compliance and ethics training and awareness activities.
- Facilitate ethics awareness and Leader Talks activities and culture enhancement program.
- Carry out company-wide communications/ awareness activities around culture initiatives
- Maintain a Dashboard for Culture with measurable metrics for success and improvement opportunities.
- Take lead designs and interactive training delivery forms for all kinds of Compliance Training to bring the audience’s attention for the implementation of Compliance best practices.

1.2 Compliance Training (10%)
- Responsible for overseeing the implementation of the AIA Group Compliance Certification and Compliance Training Curriculum Standard.
- Monitor compulsory on-line/ classroom risk & compliance training. Improve the efficiency and effectiveness of the tracking and escalation process by tools.
- Transform the awareness activities and take lead the training delivery to staff of all contract types to ensure they are aware of their ethical responsibilities as required in the Code of Conduct and related policies, including Conflict of Interest, Anti-bribery & Corruption, Whistleblowing and Anti-fraud policy.
- Take charge of launching interaction activities for Agency Compliance Roadshows delivered to AD/AT on the Agent Code of Conduct according to materials provided by Agency Distribution Compliance to promote the intermediary ethical culture.
- Recommend feasible solutions for digital training platforms to improve the interaction from participants on the Compliance topics.

1.3 Code of Conduct, Conflict of Interest, Whistleblowing and Anti-Fraud (10%)
- Responsible for overseeing the implementation of the AIA Group Whistleblowing Policy, Anti-Fraud Policy, and Zero Tolerance Approach.
- Responsible for overseeing the implementation of the AIA Group Code of Conduct.
- Take the role of Fraud Reporting Officer to manage whistleblowing cases, including internal fraud or misconduct cases.
- Advise and manage cases related to conflict of interests, gifts, and entertainments.

2. Quality Assurance for Compliance processes (60%)
- Develop & implement compliance quality assurance plan to assess end to end compliance process for non-sale compliance including:

- Anti-money laundering activities.
- Anti-bribery and corruption
- Data privacy
- Regulations
- Conflict of Interests
- Fraud awareness and Whistleblowing program.
- Design & implement compliance framework for appropriate approach to be applied for compliance on site control testing.
- Implement data analytics and exception reports for compliance assurance and improve the efficiency of compliance testing.
- Take any other tasks relating to regulators audit (MOF inspections, HK Insurance Authority Inspection ) or participate in project assignment which requires the coordination of multiple Compliance aspects from time to time as assigned by Head of Compliance.
- Build a career with us as we help our customers and the community live Healthier, Longer, Better Lives._



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