Head of Compliance, Eastspring

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.

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KEY ACCOUNTABILITIES

The Regional Head of Compliance will be responsible for leading and driving Eastspring’s Compliance Framework and Programs across all regions and LBUs.  The role will drive transformational change and oversee the full spectrum of the compliance function from risk assessment, policy development and review, assurance, reporting, education/ training and senior stakeholder/third and regulatory relationships across the company.

Key Regional Compliance responsibilities:

• Establish and drive Eastspring’s Regional Compliance Strategy
• Transform, modernise the Regional Compliance function
• Ensure Regional Compliance structure, resourcing and talent is aligned to deliver strategic outcomes
• Partner with Prudential in the review and development of compliance policies and procedures and applicability to Eastspring
• Drive implementation and assurance of Eastspring Investments group policies and practices
• Keep CRO Eastspring Investments informed of key compliance issues and ‘hot topics’ across LBUs
• Prepare Compliance Reports for governance committees/functional for Eastspring Investments/Group and requested ad hoc papers
• Proxy for CRO at committees/meetings as required
• Lead/Participate in ad hoc reviews and investigations as required across Eastspring LBUs
• Lead Eastspring Investments wide Compliance related projects as and when required, for example, Compliance Digitalisation and ESG Compliance Work Group
• Ensure operating model is fit for purpose and strongly aligned with key strategic priorities

LBU compliance oversight responsibilities:

• Provide oversight of the compliance functions of the LBUs
• Ensure LBU compliance teams are performing to the compliance standards required by the stakeholders of Eastspring Investments and group
• Implementation of industry best practices, taking into account commercial requirements and local regulatory complexities
• Partner with LBU Heads of Compliance to ensure Annual Compliance Monitoring Plan (ACMP) is established for LBUs
• Ensure ACMP has adequately considered the compliance risks to the business; and relevant compliance tests have been designed to monitor these risks
• Conduct regular reviews of the status of implementation of the LBU ACMP and report accordingly
• Maintain regular engagement with LBU Heads of Compliance keeping them updated with broader Regional Compliance activities and progress
• Lead and advise Regional compliance team members responsible for areas of ‘Specialization’ across all of Eastspring’s businesses globally e.g. Management Reporting; AML, ABC, COI, PAD etc
• Drive implementation of a solid Assurance function (and e-communications monitoring) across all LBUs
• Drive implementation of a Financial crimes framework and roadmap across all LBUs
• Partner with LBU Heads of Compliance to interpret and, if necessary, to implement the required GHO/Eastspring Investments compliance standards and controls.
• Provide proactive and timely advice and support to key business /strategic initiatives / projects from the compliance perspective. This can be both at Head Office and at LBU level.

Senior Stakeholder Engagement:

• High engagement with key internal stakeholders such as Board, Directors, Group and Eastspring Executive Leadership
• Strong profile with various Heads of Functions in educating and imbedding a robust compliance culture across the business
• Deepen relationships with regulators across various jurisdictions and provide industry insights and feedback on policy and regulatory matters

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EXPERIENCE / QUALIFICATIONS

• Relevant degree qualifications
• Deep background in Asset Management is strongly preferred – banking will be considered
• Internationally recognized compliance and anti-fraud certifications, highly desirable
• At least 15 years of deep compliance experience and 5 years in a global/regional head of compliance role
• Global and/or regional experience running regional compliance function and programs
• Experience in leveraging matrix structures and talent to deliver companywide compliance strategy and initiatives
• Strong knowledge of anti-bribery and corruption laws across the region
• Adept in compliance-related IT systems and tools
• Track record in successfully transforming compliance functions in terms of simplifying, regionalizing, automating and process re-engineering
• Experience establishing and sustaining an effective Assurance function
• Strong influencing and stakeholder engagement skills
• Polished and articulate presenter

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.