Head of Compliance - North Asia
About Our Client
My client is a very reputable technology and services led business that works with market leaders and has four key business arms. Consisting of over 80 offices globally there my client helps business and clients seize opportunity.
- Responsibility for implementation of Group Compliance strategy in the region and associated oversight of regional Compliance matters to ensure alignment
- Providing strategic direction and acting as a point of technical compliance delivery for the region to bring the region up to the expected compliance standard of both the Group and any relevant regulators within the region.
- Develop internal relationships to ensure commitment throughout compliance agendas
- Oversight of local Compliance functions across the region. Ensure sufficient resources and training are in place to successfully discharge the objectives of the functions (includes involvement in recruitment and setting KPIs and objectives)
- Challenge compliance practice and develop and implement strategic and tactical plans for the region in conjunction with Group Compliance
- Ensure delivery by offices of routine compliance monitoring under a defined Group program, and the carrying out of reviews and reporting functions as part of a pro-active risk-based compliance regime
- Ensure maintenance by offices of Compliance manuals, seeking to harmonize these across the region as far as possible
- Prepare and submit standard quarterly reports to Chief Compliance Officer
- Act as designated Compliance Officer and Money Laundering Reporting Officer the post holder ensuring that offices comply with regulatory requirements
- Acting as the Compliance Officer for relevant operating entities with overall responsibility for the establishment and maintenance of the licensees' AML/CTF systems as part of the relevant license requirements
- Interpreting and disseminating information about regulatory requirements and changes to the First Line
- Undertaking periodic compliance monitoring on the basis of a risk-based compliance monitoring programme as devised by Group Compliance and making recommendations for improvements in the manner in which compliance is achieved
- Maintaining the various compliance registers that regulators and Group Compliance require to be kept
- Exercise due skill, care and diligence, observe proper standards of market conduct and deal with any regulators or other relevant stakeholders in an open and co-operative way.
The Successful Applicant
- Minimum degree holder in relevant disciplines, advanced degree preferred
- Qualified lawyer would be highly regarded
- Minimum 10 years of compliance experience preferably gained through reputable professional services or financial services firms
- Strong Legal and Compliance technical knowledge
- Able to work in a multi-faceted environment and sensitive to divisional business issues.
- Methodical with strong analytical skills; ability to interpret and summarize complex information for onward communication to the Executive Committee, the Board and externally as may be required.
- Consultancy skills in order to be a trusted adviser to the business on Legal and Compliance related issues.
- Strong influencing skills with the ability to build persuasive cases based on fact and through the strength of leadership ensure that all relevant stakeholders buy into the Compliance strategy.
- Credible and effective communicator both written and verbal with proven relationships with industry and/or market contacts.
- Ability to remain calm under pressure and display emotional resilience.
- Collaborative, strong team-player with demonstrable experience in working within a dynamic organisation and able to build bridges between the different stakeholders within the organisation, division and locations
- Exceptional attention to detail & programme management experience
- Excellent people management skills able to lead and motivate large teams
What's on Offer
The candidate has great opportunity to work with a regional remit with a competitive package.