Main Job functions/Responsibilities

• Build and maintain a constructive and professional relationship with all relevant regulators, external auditors and other external parties, and internal customers.
• Work with senior management to facilitate a robust compliance culture across the region.
• Evolve the organisation and control environment of Compliance.
• Responsible for designing, managing and overseeing the execution of the compliance oversight programs (e.g. monitoring, regulatory reporting, training) of all business units and legal entities in conformity with Group and local standards.
• Support the effective identification, measurement, control and management of compliance risk through ensuring that all the compliance teams within the region adopt and follow the Group  Compliance methodologies including:
  • Overseeing the process of including all applicable laws, rules, regulations and compliance risks into their respective business environments;
  • Managing the annual compliance risk assessment processes  
  • Assessing the overall regulatory posture of the location’s business units and assessing the overall effectiveness of the respective compliance oversight programs.
  • Contribute to the global development, implementation, review and revisions of compliance policies, procedures and systems.
  • Monitor applicable regulatory changes and provide effective change management within the business units of the region to address such changes.
  • Actively participate in the Senior Risk and  Compliance Forum
  • Ensure the  Compliance team is appropriately resourced and organised including:
    • Hire, direct, train and coach direct reports. 
    • Allocate, coordinate and performance manage work and responsibilities of regional Compliance resources.
    • Collaborating with Legal, Risk and Internal Audit, as appropriate.  In particular, jointly developing a relationship management strategy for all relevant regulators within the region and leading the execution of the strategy.
    • Develop and enhance reporting to senior management.
    • Escalate and report relevant matters to the Group Head of Compliance.
    • Travel as required to fulfill the responsibilities of the role.

Requirements

• Extensive compliance experience (+15 years) and experience in Fund, Banking and Custody/Trustee businesses with cross-jurisdictional operating models.
• Proven interpersonal, communication, project management and leadership skills.
• Proven ability to manage medium sized teams over multiple locations.
• Demonstrated problem solving, managerial and decision-making skills.
• Strong negotiation skills.
• Team player.
• Ability to influence.
• Ability to build consensus.
• Ability to develop and maintain business relationships.
• Ability to get involved.
• Flexible, creative thinker.