Assistant Director

Prudential's purpose is to help people get the most out of life. We will deliver our purpose by creating 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 Prudential a place where you can Connect, Grow and Succeed.

Advisory Compliance
- Act as Compliance advocate for COO and Corporate business functions.
- Develop, shape and monitor the implementation of compliance policies and procedures (including Code of Ethics) that are conducive to a positive compliance culture and conduct requirements that are in line with Group, Eastspring Singapore as well as international best practices that caters for Eastspring Investments continued expansions.
- Keep track of regulatory changes and industry developments. Determine and communicate the impact to business functions and ensure implementation of action points by stakeholders to comply with the changes.
- Liaise with relevant regulatory bodies, internal and external auditors. Coordinate on information requests/response to surveys and the implementation of recommendations.
- Provide advisory on Singapore corporate and individual licensing requirements.
- Continuously review and improve on compliance arrangements for efficiency and effectiveness.
- Support compliance related projects to promote and enhance regulatory risk management.
- Provide sound and pragmatic compliance advice to front and middle offices initiatives as well as any other ad-hoc queries originating from the regional investments and dealing hubs.

Operational, Monitoring and Surveillance
- Support corporate and individual regulatory filings.
- Handle new joiners compliance declarations matter.
- Contribute to the design and implementation of suitable compliance arrangements for the regional investments (including Equity, Fixed Income, Multi Assets and Alternative teams) and dealing hub.
- Assist in the preparation of Compliance Monitoring Plan (“CMP”) as well as monitoring of the CMP.
- Support and review any potential/actual conflict of interests at corporate and individual levels.
- Support and review measures to address culture and conduct requirements.

Governance
- Identifies training needs to ensure compliance with relevant local laws, rules and regulations; prepares training materials and ensure that all employees receive timely and adequate training on compliance.
- Contribute to compliance reporting to senior management, governance committees and Head Office Compliance.
- Assist in the review of the compliance related policy and procedures.

EXPERIENCE / QUALIFICATIONS/ ATTRIBUTES
- Degree in Commerce/Business/Law/Accountancy/Banking.
- Minimum 8 to 10 years of relevant compliance experience with at least 3 to 5 years in asset management compliance setup.
- Strong knowledge of SFA laws, rules and regulations relating to the regulated activities of fund management and dealing in securities as well as familiar with the FA laws, rules and regulations.
- Excellent communication skills (written and verbal) and effective inter-personal skills with experience in working with different stakeholders.
- Strategically minded and strong business acumen.
- A team player with strong sense of loyalty and commitment to quality and detail.
- Hands-on work style. Resourceful, flexible and agile, able to respond in a rapidly changing environment.
- Resilient in dealing with multiple initiatives and challenges.
- Forward looking mindset, independent judgement and robust analytical skill.