Regional Compliance Job Description
Regional Compliance Duties & Responsibilities
To write an effective regional compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included regional compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Regional Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Regional Compliance
List any licenses or certifications required by the position: DG, FIATA, IATA, CHC, CFE, RHIT, RHIA, CAMS, ACAMS, EMEA
Education for Regional Compliance
Typically a job would require a certain level of education.
Employers hiring for the regional compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Law, Education, Finance, Accounting, Legal, Graduate, Management, Engineering, Business/Administration
Skills for Regional Compliance
Desired skills for regional compliance include:
Desired experience for regional compliance includes:
Regional Compliance Examples
Regional Compliance Job Description
- Act as a Compliance representative responsible for the review and assessment of exception requests and providing recommendations to Business and Compliance leaders as appropriate
- Provide CCO, Director Advisory and Compliant Management, and Compliance partners with recommendations regarding policy, training opportunities, Communicaton strategies utilizing feedback
- Ensure all Service Level Agreements for Advisory and Complaints are maintained
- Assist with the design, development, and facilitation of Compliance Communication and Training material
- Project manage CB Asia-wide regulatory, governance or control related rollouts (including but not limited to FATCA and CRS)
- Set up project governance structure, identify committee members, engage stakeholders, prioritize work-streams, run steering committees, organize working groups and ensure proper project administration
- Liaise with central PMO or global project teams on behalf of CB Asia
- Liaises with a number of teams across the business on AML compliance related issues
- Responsible for Compliance matters as the “one stop shop” for business units and local regulators
- Evolve the organisation and control environment of Regulatory Compliance
- Monitor emerging regulatory trends and new legislation impacting the company's investment activities both at group and across operating local business entities and work with regulatory team to ensure impact is properly assessed and implementation properly tracked and reported
- Participate in pre-appointment review / due diligence of adequacy and effectiveness of compliance functions of external Investment Managers ("IM") and provide recommendation in the selection process
- Assist in development and roll-out of an investment monitoring and testing program for reviewing compliance with both internal and external requirements which include monitoring and reporting of substantial shareholding, portfolio compliance monitoring
- Independent and strong self-initiative
- Bachelor Degree with minimum 2-3 years’ experience in Commercial Banking
- Good organisation and analytical skills with a keen eye for detail
Regional Compliance Job Description
- Maintain the Watch, Restricted and Insider Lists and associated processes
- Handle and ensure the recording of breaches arising related to CR processes, and escalate as appropriate
- Responsible for designing, managing and overseeing the execution of the regulatory compliance oversight programs
- Support the effective identification, measurement, control and management of regulatory compliance risk through ensuring that all the regulatory compliance teams within the region adopt and follow the Group Regulatory compliance methodologies
- Leading the regional compliance and risk assurance team to ensure that the firmwide business activities are aligned with the global compliance practice regulatory requirements
- The design and implementation of the risk assurance program and ensure that the compliance monitoring and testing of the programs is maintained within each of the local offices
- Work closely with relevant business stakeholders regionally and ensure that these frameworks are adopted respectively
- Ensuring that the training, maintenance, testing of framework the communication with the regulators are conducted appropriately
- Driving any projects or initiative that is related to the regulatory changes related to the Risk Assurance or Compliance Testing framework
- Program manage the delivery of large scale regulatory programs to ensure DB is prepared and compliant with all upcoming regulatory obligations
- Strong team player, quick learner, pro-active, motivated and result driven
- The role requires frequent interaction with Asian countries, thus, candidates with fluency in Chinese, Korean or Japanese will be preferred
- Knowledge of bank regulatory/compliance is preferred
- Confident presentation, communication, and stakeholder management skills
- Structured and organised with proven problem solving skills and ability to handle pressure and deadlines
- Project management skills or prior involvement in change projects preferred
Regional Compliance Job Description
- Build long terms relationships with senior stakeholders across Compliance, Infrastructure and Front Office
- Build long terms relationships with stakeholders across Compliance, Infrastructure and Front Office
- Maintain up to date awareness of relevant regulatory environment changes and their impact on various business/infrastructure activities
- Maintenance of key project artifacts such as, but not limited to the project plan/PID, RAID logs, action trackers and stakeholder maps
- Good understanding of the global regulatory environment and ability to communicate this effectively to the business
- Experience of managing large, complex programs for global organizations preferably within a regulatory environment
- Structured, organized and results oriented approach, demonstrating a high level of diligence and attention to detail and the ability to ensure high quality and consistency in the deliverables produced
- Perform thorough, timely, and effective investigation of employee’s related matters and ensure complete resolution of these matters
- Conduct research and investigations to identify the reason for staff potential violations, areas including Code, Data Privacy, Licensing & Registration, Outside Business Activities, Conflicts
- Identification of issues and trends from the management information, propose and manage implementation of further enhancements and process remediation where required
- Minimum 5 years experience in similar compliance role or other relevant product, regulatory or risk management experience gained within a financial institution or regulator in Hong Kong
- University degree, other professional qualification not mandatory
- Other Asian languages beneficial
- Take responsibility for specific initiatives within Compliance , training, offsites, team development *LI-JG1
- Keen interest in a wide range of business types and situations, and desire to ability to build bridges between various functions and locations
- Minimum of 10 years experience in Compliance or related functions (e.g., regulatory, legal, audit, risk or controls)
Regional Compliance Job Description
- Lead a team of compliance analysts to implement, maintain, and optimize enterprise systems and infrastructure related to key risk-assessed processes in the areas of (1) high risk payment pre-approvals, (2) external, governmental transparency reporting, and (3) commercial third party compliance
- Drive continuous improvement on all related operating mechanisms, processes, documents and tools, to ensure ongoing standardization and simplification of transactional compliance across the Asia Pacific countries which include Southeast Asia, ANZ, India and Japan
- Build and refine appropriate measurements of efficiency and efficacy of transactional programs, systems, and processes monitoring tools to identify potential programmatic and other gaps implement appropriate remediation plans
- Facilitate decision making between the Americas Transactional COE and the business to drive compliance with policies and regulations fully understanding business needs and intentions
- Ability to manage senior management expectations and competing priorities and follow up proactively on issues
- Develop, implement, and monitor Employee Compliance improvement initiatives within APAC in conjunction with various stakeholders
- Assist the leadership team in identifying and assessing high compliance risk areas and develop improvement plan to mitigate the risks
- Primary Compliance coverage responsibility for the South Asia Currency & Emerging Markets & Global Rates aligned sales businesses, including policy development, training, product/transaction reviews and regulatory advice
- Assessing the impact of regulatory changes throughout the
- Preparation and delivery of Compliance training materials in Singapore and across South Asia
- Extensive knowledge of U.S. political law and ethics issues at the federal, state, and municipal levels
- Strong managerial, interpersonal, analytical and executive-level communication skills
- University degree in related disciplines
- Ideally will have previous experience within Compliance in a regulatory position
- Proven experience in APAC technology-related regulatory policies
- Be the subject matter expert for Operations policy, procedure and process for Caribbean Collections
Regional Compliance Job Description
- Handle, as required, PA requirements of Nestlé Nutrition MENA Region, together with Nestlé local teams (Country Managers, NN staff) on code related matters
- Together with NiM training & Development, Sales Training & PDM responsible to provide training to all employees on WHO, local codes and WCMs
- Define the strategy for Nestlé Nutrition PA activities with the Region (role of regional/country NN staff, Market Head, Country Managers, Regulatory Affairs Managers, the Centre)
- Support markets to manage issues/crises as and when they arise on code related matters
- Lead, train and develop the next generation / team of NN PA & Code Compliance potential staff in order to establish real lobbying skills throughout the Region
- Issue clarification on grey areas and legal opinions
- Manages and Coordinates in the market readiness for internal and external (FTSE4Good) audits
- Ensure that regulatory requirements are met for new products and support other functions such as Retail, Supply Chain, Transportation, Marketing, Customer Service, and Legal
- Work with Corporate Medicare Compliance Officer to develop and implement general compliance and privacy training and policies and procedures
- Maintaining good business relationships, working to partner cross-functionally to understand and address needs and roadblocks and facilitate change as appropriate
- Experienced in Operations risk and/or Business Analyst in AML related projects
- Ability to prioritize and work independently to carry out projects
- To assist in reviewing the compliance related policies and procedures, updating the relevant operation manuals
- To assist in executing and monitoring the requests made by HKMA and other regulatory authorities, handle ad hoc projects
- Min 5-7 yrs' experience in general compliance, preferably gained from sizable banks or financial services organizations
- Proficiency in English and Chinese, fluency in Mandarin an advantage