Eastspring is a global asset manager with Asia at its core. We create a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career ambitions. We pledge to make Eastspring a place where you can Connect, Grow and Succeed.
Key Accountabilities
- Investment Compliance assist business owners to identify and monitor guideline compliance (including both regulatory and client mandated guidelines)
- Reporting provide timely management of reports and escalation of regulatory and guideline compliance issues and deal with audit/quality assurance/inspection queries/issues relating to Investment Compliance function and regulatory compliance matters.
Duties And Responsibilities
Investment Guidelines Compliance
- Conduct daily pre- and post-trade Investment Compliance monitoring
- Advise fund managers and internal customers on the interpretation of the relevant investment guidelines and restriction
- Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes through process optimisation, technology, and automation
- Perform reviews of manual control rule monitoring
- Ensure that any investment breach (both passive and active) is properly followed up and reported on including to the client, where required
- Provide timely compliance reports and certification to clients on a periodic basis
Delegation Oversight
- Review the regular attestation received from delegates and escalate any guideline compliance issues to management
- Participate in on-going due diligence on delegations related matters
Coding & Innovation
- Guideline interpretation, translation, testing and sign-off
- Pre & Post trade monitoring process & policy documentation
- Centralization on rule coding & testing for Eastspring Local Business Units
General Assignments
- Perform other guideline compliance tasks which may be assigned from time-to-time by supervisors to discharge the team's Investment Compliance functions e.g. assist in new instrument approval process
PERSONAL ATTRIBUTES
- Highly diligent, resourceful and curious
- Excellent communication skills, written and verbal
- Effective inter-personal skills and ability to work with different stakeholders
- Maturity, commitment, and drive
- Resilient in dealing with multiple initiatives and challenges
- Interest in innovation and technology to standardize and optimize operations
- Forward looking mindset, independent judgment and robust analytical skill
Eastspring is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements.
