Report to: Senior Manager, Compliance
Role: Individual Contributor
Function: Risk
Location: HCMC
Position Objective:
- Successfully oversight Conduct risk which works as a second line of defense in partnership with the business (as first line of defense) to ensure that conduct risk is efficiently and effectively assessed, mitigated and controlled.
- Successfully building and promoting the Compliance culture in the team, employee and the Company' sales forces.
Roles and Responsibilities:
1. Risk & Compliance Culture (50%)
- 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.
- Responsible for 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.
2. Compliance Training (20%)
- 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 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.
- Deliver Compliance Roadshows to AD/AT on the Agent Code of Conduct according to materials provided by Agency
Distribution Compliance to promote the intermediary ethical culture.
3. Code of Conduct, Conflict of Interest, Whistleblowing, Anti-Bribery & Corruption and Anti-Fraud (30%)
- 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.
- Responsible for overseeing the implementation of the AIA Group Anti-Bribery Policy.
- 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.
- Conduct
quality assurance and regular reviews for Fraud awareness, Conflict of Interests awareness and Whistleblowing program.
