Regional Compliance (Regional Oversight)

As the selected candidate, you will be required to support an APAC-based investment management firm with the following responsibilities: LBU Oversight Responsibilities: - Serve as the Relationship Manager and oversee the compliance functions of the Local Business Units (LBU) assigned to you. - Ensure that the LBU compliance teams adhere to the required compliance standards set by stakeholders and implement industry best practices, considering commercial needs and local regulatory nuances. - Collaborate with LBU Heads of Compliance to establish an Annual Compliance Monitoring Plan (ACMP) for the LBUs and critically assess the plan to ensure proper regulatory risk assessment and control monitoring. - Conduct regular reviews of the LBU ACMP implementation status and provide relevant reports. - Maintain regular communication with LBU Heads of Compliance to identify key compliance risks, review compliance-related information, and address areas of specialization such as Management Reporting, Conflict of Interests, ESG, etc. - Offer proactive guidance to interpret and apply Group compliance standards and controls in coordination with LBU Heads of Compliance. - Provide timely advice and support for key business/strategic initiatives at both Head Office and LBU levels. Key Head Office Compliance Responsibilities: - Keep the Head of HO Compliance and Chief Risk Officer informed about key compliance issues and hot topics in the LBUs under your purview. - Assist in preparing Compliance Reports for governance committees/functional heads at Group Head Office and attend meetings as necessary. - Collaborate with Group Head Office to review policies and procedures for client applicability and implement them accordingly. - Support the Head of HO Compliance in preparing ad hoc papers on risk and compliance for governance committees. - Lead organization-wide projects when required and participate in ad hoc reviews and investigations. Experience/Qualifications: - A degree in Commerce/Finance/Accounting/Banking with professional qualifications in Accounting/Law/Management. - 5 to 8 years of experience in regulatory compliance planning and operation within the financial services industry, such as banking, fund/asset management. - Preference for candidates with international experience in regulatory compliance within multinational fund management, broking, or banking industries. - Strong communication skills (written and verbal) and effective interpersonal skills with experience working with diverse stakeholders. - Proficiency in business transformation and innovation. - Adaptive, mature, motivated, and able to take initiative. - Possess a forward-looking mindset, independence, and a positive can-do attitude.,