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
- To plan and execute regionalisation of ES LBU Compliance monitoring and surveillance activities in Singapore as the Centre of Excellence for regional compliance monitoring and surveillance.
- To support and guide Eastspring LBU Compliance teams in defining their local LBU Compliance Monitoring Programme (CMP) plans and providing oversight over CMP testing performed locally by LBUs to ensure consistency.
- Be the designated Subject Matter Expert (SME) for Personal Account Dealing processes across Eastspring, alongside the Assistant Director for Regional Monitoring.This includes ownership of the Eastspring-wide PAD procedures and related training, providing compliance advice to employees, assisting in new hire onboarding, oversight over completion of employee attestations, personal account dealing system related activities and system admin support to LBUs, UAT testing and breach investigation and escalation. In addition, liaise with relevant stakeholders such as Group Compliance & Regulatory Risk for Group reporting on PAD including material PAD breaches, StarCompliance vendor for new version upgrades and system logic enhancement, coordinate contract negotiation.
- Continuously look for process enhancements to ensure more effective and efficient ways to deliver the Compliance Monitoring and Surveillance plan for EISG and the remainder of Eastspring LBUs. As part of this, lead and drive automation and data analytics efforts starting with EISG as a test case since EISG has the requisite data with regional IT support for implementation before rollout to LBUs.
- Support succinct and impactful reporting on Compliance Monitoring and Surveillance activities to senior management, and the relevant Risk Committees that are mainly located in Singapore.
- Where required, provide support to strategic business initiatives, in particular if changes to these could have an impact on the scope and execution of the Compliance Monitoring & Surveillance plan.
- Participate in Eastspring Compliance related projects as required.
- Participate in ad hoc reviews and investigations as required.
Experience And Qualifications Required
- At a minimum 5 years of professional experience in Asset Management / Wealth Management or Investment Banking Compliance or related testing and surveillance activities.
- Strong understanding of risk management, internal controls, compliance requirements, and testing standards.
- Excellent communication skills, both verbal and written.
- Analytical mindset, attention to detail, and the ability to think critically and strategically.
- Demonstrates personal initiative, strives to innovate and build best practice.
- A continuous learner with a growth mindset who is open-minded and able to adapt to different circumstances.
- Strong team player.
- Prior experience in trade or e-communications surveillance will be considered an advantage.
- Familiarity with Python application and excel formula will be desirable.
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.
