Compliance Assistant

To assist the Compliance Director to handle all daily admin works of Compliance not limited to:
required
1. Frequently update and know well all Aon’s Corporate Policies in order to advise Aon staff where required
2. Anti-Corruption:
- Record of all daily expenses of Aon’s client events, entertainment, Meals and Gift to clients
- Guide broker on the application of CER and TPAF
3. OFAC:
- Daily OFAC scanning requested by Accounting (new vendor), Operation (New Client), HR (New staff)
4. Trade Restriction Policy
- Monthly Reminder to brokers on Trade Restriction Policy on fixed schedule
- Keep brokers updated on Aon’s Trade Restriction from time to time
5. Market Security/FATCA Compliance:
- Application for market security approval (official registration /case by case only)
- Recording and checking on Client Advisory Letter (applied for MISG and Cathay)
- Sending Monthly Reminder to brokers on Market Security Application Procedure
6. Implementation of KYC and Internal Control for Business Transaction Procedure
7. Report and frequently update to Compliance Director on status of daily work and outstanding cases.
8. Other tasks assigned by Compliance Manager Director from time to time Other tasks assigned by Compliance Manager from time to time