Senior Compliance Officer, Asia Pacific

Responsibilities

Asia Pacific Compliance Monitoring

Effective planning and delivery of Asia Pacific compliance monitoring plan including:

· Develop and maintain effective and proportionate compliance monitoring tools, techniques, systems, procedures and other controls for Asia Pacific monitoring activity.

· Ensure that Asia Pacific compliance monitoring plans for transactions surveillance (market abuse & conduct) are implemented effectively and progress against plan is tracked and reported.

· Ensure that Asia Pacific compliance monitoring plans for conduct related matters such as conflict of interest, personal account dealing, gifts & hospitality, fit & proper, declaration etc are implemented effectively and progress against plan is tracked and reported.

· Work with Global Compliance Teams to develop and implement Asia Pacific policies, procedures, systems and other controls relating to compliance monitoring plans, execution and reporting.

· Ensure compliance monitoring plan meets the local regulatory requirements and expectations.

· Conduct ad hoc investigations into potential breaches.

Regulatory Related Matters

· Maintaining the MAS correspondence, representative’s register and other key regulatory filings & record.

· Coordinating and supporting licence representative and director’s applications with MAS.

· Monitor all MAS regulatory developments and changes on an on-going basis. Review and assess all new or change to Singapore regulations and advise Management of the potential impacts arising from these regulatory developments.

Business Advisory

· Work closely with Sales & Marketing Teams to understand their business requirements and activities. Provide advisory to the Teams on conducting cross border marketing activities and any other business initiatives.

· Provide compliance and regulatory advisory on new products and business developments

· Compliance review and approval of financial promotions materials, client communications and other client facing documentation, i.e. RFPs, presentation material that meets local regulatory and global compliance standards.

· Conduct business and thematic reviews where necessary.

Other Compliance Matters

· Maintain an up to date compliance training deck and conduct compliance training to all staff, senior management and directors.

· Ensure the Asia Pacific business maintains an up to date compliance policies & procedures and manuals and is aligned with AI global compliance standards and meet local regulatory requirements.

· Coordinating and supporting core Compliance processes including supporting the development of the AI Asia Pacific Compliance Business Plan and annual reviews of the Compliance Manual, and the Compliance Framework;

· Prepare formal compliance reporting process and cycle both locally and to global compliance functions.

· To support the Chief Risk & Compliance Officer APAC in discharging their responsibilities as required and specifically, in terms of dealing with regulatory matters.

· Ad-hoc tasks as assigned by Chief Risk & Compliance Officer APAC.

Financial Crime

· The Asia Pacific business maintains an up to date financial crime policies & procedures and manuals and is aligned with AI global compliance standards and meet local regulatory requirements.

· Handle matters and issues raised by Global Financial Crime Compliance Operations Team.

· Conduct annual enterprise wide financial crime risk assessment for the Asia Pacific business.

· Undertake periodic monitoring of transactions, investigate and raise any alerts pertaining to suspicious activities.

· Work with Global Financial Crime Director and implement any global policies, procedures and standard relating to financial crime.

· Provide advisory to business relating to financial crime matters, such as client on-boarding KYC.

· Conduct annual financial crime training.

· Support the Chief Risk & Compliance Officer APAC in matters relating to financial crime.

Asia Pacific Mandate Monitoring

· Monitor and attend to pre-trade alerts as per the investment guidelines (investment management agreement, prospectus, regulatory rules or any other document) in the trading system i.e. Blackrock’s Aladdin system.

· Maintenance of the stop and other restricted lists on trading systems.

· Provide support to the Front Office on queries relating to pre-trade rules and exceptions where necessary.

· Periodic reporting to Client Relationship team on breaches to investment guidelines.

· Work with Global Mandate Monitoring Officers to implement any global procedures in relation to pre-trade monitoring

Requirements

Essential

· Extensive relevant work experience within the investment management business and excellent knowledge of MAS regulatory frameworks, AML/CFT and any other relevant regulations.

· Degree graduate (e.g. Law, Banking, Finance) or any other equivalent professional education.

· Good understanding of investments products.

· A strong self-starter that can work both in a team and independently. Can-do attitude and willing to do beyond call of duty.

· Very good communication, presentation skills and strong emotional intelligence.

· Ability to partner with people from all levels, seniority and working styles to solve business problems while maintaining risk & compliance standards.

· Ability to explain regulations in a non-technical manner to senior management.

· Enthusiastic approach to work and highly motivated;

· Good time management and excellent organisational skills;

· Excellent spoken and written English.

Highly Desirable

· Another Asian language an advantage.

· Professional certification such as ICA Certificate or Diploma in Governance, Risk & Compliance and Certified AML Specialist (CAMS) will be highly regarded.

About us

We are a global asset manager with broad and deep expertise across all major asset classes. As part of the Aviva Group – the UK’s largest insurance company – we are uniquely positioned to combine our insurance heritage with our investment capabilities to deliver the outcomes that matter most to today’s investor.

Today’s investors are asking more questions than ever. They expect more from their asset managers. They want joined-up thinking fit for an interconnected world; integrated solutions with their needs firmly at the heart. We’re challenging ourselves to respond to these new expectations – as well as the changes taking place in our industry and the world around us.

Inclusion and diversity

More than 1,500 people work across the globe, bringing it all together for today’s investor. True integrated advantage starts with our culture.

When everyone feels part of a unified team, in an environment of fairness, inclusion and positivity, we all achieve more. Integrated advantage is created when everyone feels stronger together - with no barriers to their ability to contribute, collaborate and succeed.

You will be assessed against the Aviva values: care more, kill complexity, never rest and create legacy.