Oversight Senior Officer

Eastspring is a global asset manager with Asia at its core. We create 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 Eastspring a place where you can Connect, Grow and Succeed.

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• Control and develop the oversight of the delegated function of portfolio activities and reporting tool in line with the CSSF circular 18/698
• Assist the Conducting Officer responsible for the Manco delegated functions and service providers, in overseeing portfolio managers (and sub-delegates), central administrators/transfer agent, depositary bank, and distributors.
• Perform initial and periodic due diligence and ongoing monitoring on delegates and key service providers of the management company and the funds we manage (e.g. portfolio managers, central administrators, depositaries, distributors, etc).
• Responsible for the collection, review and assessment of the key performance and risk indicators of our delegates and service providers.
• Establish and maintain RBAs (risk-based approach profiles)
• Ensure all controls are adhered to and exceptions are escalated in a timely manner.
• Maintain operational dashboards
• Follow up on findings and recommendations identified during the due diligence and ongoing monitoring processes.
• Support the Manco MLRO on carrying out AML/CFT controls on counterparties in line with applicable regulations and the company procedures.
• Organization and participation to service level reviews and onsite inspections.
• Coordinate with the relevant departments of the management company to ensure completion of due diligence performed on the management company.
• Ensure the recordkeeping and evidencing of the Oversight department activities to allow proper reporting to the Management Committee, to the Vendor Governance Committee and to the Board of Directors of the management company and of the Funds.
• Support the department's manager in updating the policies, procedures, and specific documentation (questionnaires, checklists, reports, etc.) to comply with the regulation, market practices, and the company's processes.
• Organize, manage, and follow up to the action points of the Manco Vendor Governance Committee and support/report to the Regional Vendor Governance Committee (prepare minutes, reports and maintain the related documentation for the management and the regulatory authorities). Support remediation and follow-up on identified issues).
• Maintenance, and regular update of the Register of Information (DORA register); Regular interaction with the BCM to conduct data point collection, and or coordination of the legal review of DORA addendum with the impacted counterparties (this includes the process mapping for the identification of ICT assets and services providers, criticality assessment, resilience testing results collection, agreements mapping, etc.)
• implementation and regular maintenance of the relevant SLAs, SOWs, and Op Memo related to the third-party service providers and delegates.
• Participation in ad-hoc company projects from an oversight and regulatory perspective
• Ensuring close cooperation with internal stakeholders such as Compliance, Legal, Fund Administration and Risk Management to support the effective execution of oversight activities
• Ensuring oversight and compliance with EMIR/SFTR requirements, including the monitoring of delegated reporting entities and the implementation of data quality controls.
• Act as main contact for the internal and external auditors for queries and info collection during the internal and external audit for items related to the oversight on delegates.

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EXPERIENCE / QUALIFICATIONS

• Degree in Finance/Economics or equivalent
• Minimum 3/5 years of relevant experience working in a Manco/Asset Manager/UCITS, AIF environment
• A previous experience in due diligence or delegates oversight role would be considered as an asset.
• Strong knowledge of the Manco business in Luxembourg and its various actors.
• CFA, CAIA (or similar) qualifications would be a strong advantage
• Ability to engage in good working relationships with a range of stakeholders including clients, internal teams, and service providers.
• Excellent organizational, prioritization and written communication skills.
• Autonomous, rigorous, result-oriented, and flexible.
• Professional level of English (spoken and written) is a must; the knowledge of an additional language as French or German is a strong asset.
• Excellent modelling skills in MS Excel as well as skills in Power Point and Word, Copilot.
• Previous exposure to vendor governance tool (i.e. Coupa) is an advantage
• High level of responsibility and flexibility, ability to take initiative, learn quickly and strive for results

Eastspring is an equal opportunity employer.  We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements.