Senior Officer - Risk, Compliance and Legal

• 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 including communicating with Regional Rule Coding Team for coding new/amended rules, daily access and review compliance workbench in system, warning Fund Managers of potential deviations/breaches, escalating and monitoring deviations/breaches.

• Enhance and encourage the strong compliance culture across the company.

• Support Head of RCL to foster and discharge RCL responsibilities from compliance

Risk

• Provide support to Head of RCL on monitoring, reporting in relation to Risk Management matter.

Legal

• Provide legal support to all other functions, including legal advice and review documents/contracts.

• Provide legal support to respective committee such as product committee, investment committee for all private, negotiated investments.

Other Accountability

• 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.