The role is to support the Global Compliance Office (“GCO”), in the development and delivery of a mature compliance culture in Asia, an reports within GCO to the global Chief Ethics Officer, VP Global Compliance Office . Acting as a liaison with country compliance representatives to identify and respond to client, business, legal and regulatory requirements.
· Support the identification of potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide general guidance and/or develop process/policy on how to avoid or deal with similar situations in the future.
· Collaborate with other functions (e.g. Internal Audit, Human Resources, Legal) to assist on compliance issues and business risks/developments.
· Where necessary assist in the collation of information to support client requests for information/due diligence demands in relation to GCO’s areas of responsibility.
· To build and sustain effective business relationships and communicate with all internal and external stakeholders, and team members, both written and spoken.
· Maintain knowledge and/or awareness of the legal/regulatory environment on which the business operates.
· Support the roll out of educational material to employees from induction through to support of compliance specific training, e.g. Compliance Awareness Packages, Handbooks, Good Practice Guides etc.
· Assist in the resolution of financial sanctions matches and enquiries, as required.
· Monitor the compliance of the mandatory training programme and escalate as appropriate.
· Work closely with the Global Compliance colleagues to ensure that a compliance culture is established, embedded and enforced. Also, facilitate regional compliance development in line with business, client, regulatory or local legal requirements.
· Work with country managers and compliance representatives within remit to develop strong working relationships and assist with delivering an effective Compliance Program.
· Assist with the collation and scrutiny of the Gifts & Hospitality register and other activities in support of the Anti-Bribery & Corruption policy.
· Assist with the development of Workplace Health & Safety (WHS) initiatives and help coordinate WHS related activities across the Asia business.
· Help recommend and implement continuous improvements to the WHS management system program in alignment with the organization’s strategic objectives.
· Help develop alignment with existing material, relevant WHS training and guidance in collaboration with HR, GCO and the Learning & Development coordinator.
· Assist the Health & Safety Manager to identify hazards and unsafe working conditions/practices are identified, reported, and are being acted on. Monitor corrective activities to ensure risks are managed in accordance with the organizations risk appetite.
· Global Compliance Officer
· HR and Regional Employees and Management