Compliance

• Provides leadership, direction, and consulting to managers across APAC Distribution
• Responsible for planning, implementation and monitoring of compliance requirements
• Establishes and executes programs to measure, mitigate and monitor risk
• Coordinates with resources outside of APAC Distribution to design and deliver compliance and risk management programs
• Acts as advisor to management and external stakeholders on compliance and risk projects
• Collaboratively develops strategic direction for APAC Distribution's compliance and risk programs
• Manages daily operations of the CRM function
• Acts as a partner/advisor to relationship managers
• Manages the day-to-day compliance activities and project execution
• Responsible for developing and maintaining policies and procedures
• Educates stakeholders through ongoing training and communication of compliance policies

Senior Manager, APAC Distribution Compliance, Risk Management

• Managing a portfolio of clients regulated by the SFC and other global regulators
• Drafting compliance manuals and other compliance documentation for clients
• Establishing and maintaining the compliance infrastructure for clients
• Undertaking periodic compliance monitoring reviews at client premises
• Prepare and refine audit procedures for the conduct of audit engagements/projects across APAC
• Execute audit procedures to assess, design and operating effectiveness of internal controls
• Prepare written audit reports by drafting audit issues and recommendations on the review results of audit engagements/projects
• Drafting and/or reviewing regulatory reports and returns

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Senior Manager, APAC Distribution Compliance, Risk Management

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