Compliance Advisory Executive Director at SMBC Nikko Securities managing Advisory Compliance for Securitized Products Group with a focus on regulatory and compliance matters.
About the role
- Compliance Lead managing Electrification Systems’ Channel Partner compliance in Asia. Collaborating with Compliance Leaders and teams to enhance regional compliance objectives.
Responsibilities
- Be responsible for understanding the business organization, internal policies and procedures, and relevant industry regulations
- Support the execution of Electrification Systems’ Channel Partner compliance program through risk management strategies around the three pillars of prevention, detection and mitigation.
- Partner with the Commercial function to review and address red flags, assign remediation actions, and ensure effective implementation of policy requirements
- Engage with regional and global Channel Partner leaders and teams.
- Ongoing monitoring of Channel Partners’ activities and risks in the region
- Support in the continuous improvement of processes and controls, ensure that controls are effectively operational, and address monitoring gaps as necessary.
- Provide guidance, advice and/or training and educational programs, to improve business’ understanding of related laws, policies and procedures.
- Roll-up results into metrics that analyzes trends, risks and gaps.
- Establish KPIs for compliance processes and monitor progress.
- Support broader Compliance team objectives, including training, ad-hoc projects, risk monitoring, and internal audits.
Requirements
- University Degree with 5+ years’ work experience in Compliance or Legal.
- Fluent in English verbal and written, and at least one additional Asian language.
- Strong interpersonal and leadership skills to partner cross-functionally
- Strong verbal and written communication skills and presentation skills.
- Critical thinker, self-driven, and ability to manage multiple projects at the same time.
- Team player with excellent coordination skills, and also ability to work independently on assigned projects and tasks
- Ability to effectively work with and influence all levels of the organization, from senior leaders to process and program owners.
Benefits
- Relocation Assistance Provided: No
- #LI-Remote - This is a remote position
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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