Head of Compliance and Legal

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:

This position is responsible for Head of Compliance and Legal function and related works. This include supporting the Company in providing assurance to the relevant stakeholders of Eastspring Investments that the regulatory compliance risks of the business are appropriately identified, reviewed, monitored, resolved and reported.

• Monitor and interpret changes in the applicable legislations and regulations.
• Ensure the compliance monitoring program (CMP) is carried out on a timely basis and any material deviation or non-compliance is reported to the EIID CEO and Senior Management Team, and ES Head Office (HO) Compliance as soon as practicable.  Work with ES HO Compliance to review and update the CMP as appropriate.
• Assist in governance related matters, including but not limited to interacting with and reporting to the relevant HO teams as well as preparing materials for and participating at EIID Audit and Compliance Committee, Board of Commissioners, or any other relevant Committee meetings.
• Assist in liaison with and reporting to the local regulator and any other relevant authorities.
• Establish policies to ensure compliance with local regulations as well as Group/ES HO Compliance Policies and Standard and coordinate with relevant departments to implement such policies.
• Ensure that compliance training program (including AML and ABC) to staff members are in place.
• Establish process to monitor investment restrictions and guidelines within Aladdin and follow up on the rectification of breaches.
• Responsible for timely and accurate submission of reports (including monthly Compliance KI Report or other ad hoc requests) to ES HO Compliance and participate in Compliance projects & initiatives.
• Act as the company’s Anti-bribery & Corruption Officer, Money Laundering Prevention Officer, and Fraud Reporting Officer; ensure that the Financial Crime Compliance programs are implemented in line with Group/ES Policies and Standards.

• Provide legal advisory and interpretation services to the business to ensure statutory compliance with existing law and regulatory requirements, including new business initiative.

• Provide secretarial support (corporate secretary) in AGSM BOC, ACC and BOD meetings and reporting including all documentation such as BOC resolution and appointment circular.

• Review agreement/contracts/legal letters, and legal documents to make sure that it is in the organization’s interests and advise the Company on appropriate legal action to be taken.

• As a member of Unit Pengelolaan Investasi Syariah (UPIS), she/he should provide support to the Head of Syariah, Risk, Compliance and Legal .

• Interact with Regional Legal in relation to various legal reporting.

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.