As a member of the Asian Compliance Operations, Assurance and Governance team support the Regional CCO in oversighting the Compliance program in the region and helping the Asian businesses execute their strategic growth initiatives in a compliant and ethical manner.
Roles & Responsibilities:
Analyze relevant compliance risk metrics across all key risk areas (including AML, Sales Practices, Anti-corruption and Privacy) designed to highlight potential areas of compliance controls / program requiring enhancement and effectively engaging with key stakeholders to address gaps / areas for enhancement
Design, develop and implement an effective regional monitoring / QA methodology, covering key risk compliance program areas
Review effectiveness of testing and monitoring within the region and work with local country compliance teams to enhance, including supporting the annual testing / monitoring planning process, and quarterly CRMP review process
Design and prepare relevant and focused compliance reports for regional management and corporate compliance
Act as a “local compliance officer” to support and oversight relevant (non-operating entity) compliance risks for the Regional Office (Hong Kong Regional Office and other non-operating entities in the region as needed to ensure program is aligned), and develop the necessary guidelines
Support the development and deployment of a digital and data analytics strategy and provide compliance and advice support to regional business digital initiatives
Provide compliance advice and support to regional strategic initiatives, including M&A / strategic partnerships (including due diligence efforts)
Develop, deliver and track compliance training for Regional office staff (coordinating with the Regional Compliance Operations team as needed to ensure alignment for other non-operating entity)
Develop and implement an effective lessons-learned, best practice sharing platform and approach for compliance teams within the Asian region
Track and support reporting on regulatory developments in the region (including implementing horizon scanning source at regional level) and work with countries to ensure impact understood
Support initiatives to drive an ethical culture in the region
Support the Regional Head of Compliance and lead other regional initiatives as needed
Required skills:
College undergraduate degree required, Masters degree a Plus. Relevant major such as business administration, accounting, finance, regulatory compliance or computer/data science.
At least 7-10 years of experience in compliance, and/or risk management, and/or internal audit in financial Industry (with a minimum of 2 in compliance)
Experience in some key compliance risk areas such as anti-corruption, privacy and sales practices.
Experience in digital initiatives or oversight of the digital space preferred and interest in and willingness to engage in digital innovation and technology is a must
Excellent communication skills, both verbal and written
Proficient in excel, power point, and use of systems and software and some experience with Tableau, R or other data analytics systems/languages preferred
Creative, innovative, practical in solving problems and conflicts
Able to challenge the status quo and be a change agent
Able to influence local compliance officers, partners and key stakeholders
Able and willing to coordinate among different countries/cultures, knowing how to balance listening, influencing, guidance and direction.
Able to deliver output, and present ideas in a simple and effective way
A self-starter, able to hold self to high standards without close supervision. Able to manage deliverables within due dates, good at time management and project management.
Leadership Competencies:
Motivates People - Gains people commitment to achieve business objectives through clear communication of the company’s vision and flexing leadership styles to inspire high performance.
Creates Partnerships - Authentically builds trusted relationships and collaborates across global, diverse and multi-functional teams to successfully drive business objectives.
Seizes Opportunity - Seeks new opportunities and ways to create balanced business growth while improving operational capabilities.
Grows Talent - Inclusively and pro-actively develops talent, empowers individuals and manages diverse teams to drive engagement and performance.
Models our Values - Creates a culture that promotes the company’s values and standards
