Lead Specialist, Investment Risk & Compliance (COE)

Group-wide (covering all relevant local Business Units (“LBUs”) and Client Asset Management Companies (“AMCs”) that have investment portfolios relating to Client’s primary business of life insurance) • To utilise technology and centralised systems to perform second line investment compliance activities and demonstrate compliance with applicable investment standards, policies and procedures by providing feedback and monitoring results to Group Investment Risk and Compliance (“GIRC”) and the relevant Country Investment Compliance Leaders (“CICLs”); Second Line Investment Compliance Activities: 1. Personal Dealing compliance monitoring • Administer the Personal Dealing Standard/policy which includes but not restricted to - o Review of broker account statements. o Review of monthly personal trading transactions. o Investigate any Personal Dealing breaches. o Perform, or support, the role of the Personal Dealing monitoring tool system administrator. 2. Electronic Communication Surveillance Monitoring • Review alerts generate from the surveillance system • Conduct an investigation for potential market abuse alerts • Prepare incident report to senior management in the event of market abuse concluded upon investigation 3. Annual Investment Compliance Plan • To perform or carry out monitoring and assurance activities of our clients based on the annual Investment Compliance Plan • To ensure all monitoring activities performed are documented and supported. 4. Quality Assurance Assessment (QAA) • Carry out QAA based on annual plan prepared by GIRC • Conduct review of monitoring and assurance activities conducted by LBUs / AMCs, on a risk based approach • Prepare QAA report and provide recommendation on any findings / improvement areas Ad-hoc activities: • Participate in ad-hoc team projects related to Investment Risk and Compliance reportings, initiatives and projects. • Degree holder in Accounting, Finance, Economics or Business Management with a minimum of 6 years’ experience in investment compliance or related field. • Solid understanding of financial instruments • Hands on experience in conducting monitoring and assurance activities • Understanding of derivatives and private assets will be an advantage. • Knowledge of investment compliance framework, processes and systems. • Strong presentation and reporting skills. • Fluency in English (written and spoken) • A highly articulate and consultative approach. • Technology savvy and detail oriented.