Ensuring that the AIS and SS APAC COPs address all relevant risks as well as corporate and local requirements, collaborating with Enterprise Risk Management, Legal, Risk Management, Regulatory and Industry Affairs and Corporate Audit as appropriate.
Overseeing the development, implementation, review and revisions of compliance manuals, policies, procedures and systems within AIS and SS APAC.
Monitoring applicable changes in the regulatory risk profile for AIS and SS APAC and provide effective change management to address such changes.
Establish and oversee the development of a Compliance culture within the business and ensure business line accountability for regulatory risks are managed and measured.
Directing the activities of subordinate staff, including hiring, coaching, managing performance and development.
Providing strategic oversight to business line development through identification of key compliance issues and trends.
Ensuring that appropriate compliance-related management information is produced and reviewed at appropriate intervals.
Reporting regularly to regional committees and legal entity Boards, with appropriate, timely and relevant information so that the committees and Boards can discharge their responsibilities effectively.
Acting as a liaison with regulatory agencies, internal and external advisors and other internal control groups on compliance related issues for AIS and SS APAC.
Support a culture of effective challenge and strong advisory models regarding Compliance interaction with the AIS and SS APAC business lines and senior management.
Maintain the highest standards of conduct and integrity and ensure compliance with accepted industry practice, company policies, statute and regulatory requirements.
Ensuring the ongoing review of current regulations, as well as future regulations pending that may affect the covered business lines; ensure strong guidance is provided to the business lines and acted upon accordingly.
Support a culture of effective challenge to ensure appropriate governance.
A detailed understanding of :
The scope of the roles managerial responsibilities
The competence of the staff reporting to you
Ensure staff members have clear lines of reporting, authority levels, objectives and progress is reviewed regularly in line with Company policy.
Develop effective working relationships and communications with staff and ensure that they are motivated, developed and supported.
Effective management and mentoring of subordinates which will include development, PPR, goal setting, coaching and implementation of training plans.
Develop staff to high standard of support, as well as individual opportunity to excel within the firm.
Internal Number: 4789735
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