Director, Compliance
- Taikoo Shing, Hong Kong
- Permanent
- Full-time
- The role’s primary objective will be focusing on the Corporate Investigation in Asia and setting the standards for proper investigations of Code breaches and similar incidents, ensuring the protection and privacy rights of both “complainant” and “subject”, and ensuring that all Code matters are properly addressed including advising on possible course of action in response to code breaches. The role’s objectives also include developing strategies to leverage new technologies and education for prevention and surveillance and to help detect and prevent code breaches and similar incidents.
- Expert in investigative practices
- Expert knowledge of insurance business model in Asia
- Expert knowledge on Code of Conduct and Market Conduct
- Strong communication skills
- Financial services laws, rules and regulations as they pertain to global financial institutions, including knowledge of regulatory compliance requirements for jurisdictions under Asia’s coverage. Awareness of Canadian regulatory requirements is a plus.
- University degree
- Regional working experience in Asia
- 10+ years relevant experience
- Investigate fraud, information security breaches, Code of Conduct breaches and similar unethical behaviour (“threats”) by employees, advisors, clients, vendors or other third parties
- Develops and maintains high-level policies and procedures for internal investigation
- Advises relevant stakeholders (Regional and Corporate HR, Compliance, Legal, business groups management) on investigation outcomes and on possible solutions for prevention
- Develops and introduces strategic initiatives to leverage data analytics for surveillance and threat detection, including strategies for threats intake and triage
- Supports “High Risk” advisor market conduct investigations throughout Asia that could have a reputational or significant financial impact on the Company
- Act as the liaison for Corporate and the Country specific Compliance teams to ensure they have the proper approach, scope and resources to conduct the “High Risk” (confidential) investigations and provide appropriate support where applicable and available
- Provide expertise and guidance to relevant stakeholders on possible courses of actions in response to “High Risk” (confidential) investigations including potential discipline and controls
- Develops and introduces strategic initiatives to aid Country specific Compliance teams in the mitigation of “High Risk” (confidential) investigations
- Sets and maintains the standards to ensure that all reports made to Corporate Investigations Asia are managed and actioned professionally in a manner that preserves the rights, interests, and confidentiality of the reporter and all connected parties
- Oversees and supports the investigations of Code reports in Asia; this includes setting standards to ensure Code reports are closed in a timely fashion and that reporters are notified in accordance with the Code and Whistleblower program guidance
- Advises relevant stakeholders on possible courses of actions in response to Code breaches in Asia
- Liaison for the Regional Office to Corporate for reports on Code and Whistleblower program in Asia, including reporting on emerging trends detected through data analytics, at least quarterly
- Develops and introduces strategic initiatives to assist Code and Whistleblower program education and training throughout Asia