Manager - Risk, Compliance & 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

1.Compliance

• •Conduct on-going and periodic monitoring according to Compliance Monitoring Plan to ensure compliance with regulations and internal policies/guidelines, detect/prevent non-compliance/breaches and recommend improvements/rectification actions to departments in the Company.
• •Be responsible for daily investment monitoring via system and compliance reports with Investor/Customer/Supervisory Bank and Regulatory body;
• •Update and vest Rules/Investment Limits in liaise with Investment Team and Regional Rule Coding Team .
• •Provide compliance training for employees
• •Update process, procedure for compliance purpose with Group policies and local regulations.
• •Enhance and encourage the strong compliance culture across the company.
• •AML transaction monitoring and reporting.
• •Supervise related depts in reporting with local authorities.
• •Support Head of RCL to foster and discharge RCL responsibilities from compliance
• •Other tasks as assigned by Head of RCL.

2.Risk

• •Identify risks and update risks in line with regulations of Group and applicable regulations.
• •Provide training for employees
• •Provide support to Head of RCL on monitoring, reporting in relation to Risk Management matter.
• •Support Head of RLC in reporting to Clients, local regulators, and ES Head Office, coordinating during audit, inspection, quality assurance reviews, conducting compliance training to staff.
• •Other duties, as assigned.

QUALIFICATIONS AND EXPERIENCE

• •University degree in Auditing/ Accounting and 7- 10 years of compliance experience
• •At least 02 (two) years of experience working in compliance dept/unit for financial industries such as insurance, securities, fund management, bank.
• •Understand key accounting principle.
• •Has business support mindset.
• •Working experience in Compliance & systems at asset management firms or security firms.
• •Strong influencing skills and ability to engage and win respect from colleagues.
• •Strong analytical & problem-solving skills, balanced & independent adjustment, law interpretation and implementation skills.
• •Strong communication skills in English & Vietnamese both.
• •Teamwork skills and attitude.

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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.