Senior Executive

2 weeks ago

Singapore EASTSPRING INVESTMENTS (SINGAPORE) LIMITED Full time

ROLE
Investment Compliance team performs pre and post-trade compliance monitoring to ensure Funds are compliant with all applicable regulatory and client mandated agreements, and group and regional policies related investment guidelines.

**Job Description**:

- Investment Compliance Services - Assist business owners to identify and monitor guideline compliance (including both regulatory and client mandated guidelines)
- Reporting - To provide timely management of reports and escalation of regulatory and guideline compliance issues and deal with audit/quality assurance/inspection queries/issues relating to Investment Compliance function and regulatory compliance matters.

Duties and Responsibilities:
Investment Guidelines Compliance
- Conduct daily pre and post trade Investment Compliance monitoring.
- Advise fund managers and internal customers on the interpretation of the relevant investment guidelines and restrictions.
- Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes through process optimisation, technology and automation.
- Perform review of manual control rules monitoring.
- Ensure that any investment breach (both passive and active) is properly followed up and reported on including to the client, where required.
- Provide timely compliance reports and certification to clients on a periodic basis.

Delegation Oversight
- Review the regular attestation received from delegates and escalate any guideline compliance issues to management.
- Participate in on-going due diligence on delegations related matters
- General Assignments
- Perform other guideline compliance tasks which may be assigned from time to time by supervisor to discharge the team’s Investment Compliance functions e.g. assist in new instrument approval process.

EXPERIENCE / QUALIFICATIONS
- Graduate or post-graduate degree in Business/Accountancy/Finance.
- Minimum 3 years of relevant financial regulatory compliance experience preferably in an asset management company.
- Strong knowledge of MAS Code of CIS, Central Provident Board Investment Scheme and UCITS Investment restrictions and investment guidelines.
- Excellent communication skills, written and verbal.
- Effective inter-personal skills and ability to work with different stakeholders.
- Maturity, commitment and drive.
- Resilient in dealing with multiple initiatives and challenges.
- Interest in innovation and technology to standardize operations.
- Forward looking mindset, independent judgment and robust analytical skill.

PERSONAL ATTRIBUTES
- Highly diligent, resourceful and curious
- Excellent communication skills, written and verbal
- Effective inter-personal skills and ability to work with different stakeholders
- Maturity, commitment, and drive
- Resilient in dealing with multiple initiatives and challenges
- Interest in innovation and technology to standardize and optimize operations
- Forward looking mindset, independent judgment and robust analytical skill

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