Managing Director, CAO APAC Compliance

State Street
Market Rate
01 Sep 2017
05 Sep 2017
Contract Type

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.

Our promise to maintain an environment where every employee feels valued and able to meet their full potential infuses our company values. It's also part of our commitment to inclusion, development and engagement, and corporate social responsibility. You'll have tools to help balance your professional and personal life, paid volunteer days, and access to employee networks that help you stay connected to what matters to you. Join us.

State Street is an Equal Opportunity Employer, and prohibits discrimination against applicants or employees on the basis of any legally protected characteristics.

Individual Accountabilities:

  • Lead change and drive the strategy of the respective regional Functional Office as a component of the overall Compliance strategy

  • Orchestrate and drive the successful and timely completion of oversight programs, including the identification and resolution of risks and issues which impact COP delivery.

  • Collaborate with and Influence business and compliance personnel regardless of level based on command of the subject

  • Ensure regional consistency of quality delivery by leading individuals and teams

  • Develop and implement best in class procedures consistent with functional responsibility

  • Monitor risk and control execution within area of responsibility, escalate appropriately

  • Actively engage with key stake holders and business aligned compliance teams

  • Independently manage compliance projects and associated change

  • Demonstrate full knowledge of assigned product/functional area and have a thorough understanding of their area of responsibility as well as a broad understanding of the entire compliance function.

  • Act as a liaison with regulatory agencies, internal and external advisors and other internal control groups on compliance related issues in area of responsibility as needed

  • Turn regulatory and best practice developments into practical and meaningful standards that can be operated within the global organization.

  • Provide input to risk assessment workshop

  • Participate in industry groups, conferences etc. to expand specialized functional knowledge

  • Communicate and educate policies and standards in operationally-relevant ways, through company-sponsored forums

  • Develop relevant learning, including experiential-based, case-based and other forms that drive an understanding of how to apply standards rather than simple knowledge of policies

  • Complete assigned periodic training as required by corporate methodology (annually, quarterly, etc)

  • Ensure proper delivery of all relevant training to new hires and staff

  • Recruit, retain and develop talent

  • Provide regular feedback and dialogue to ensure optimal employee engagement

  • Provide coaching and development opportunities to staff and responsible for completing and delivering PPRs on time

  • Make effective recommendations to hire, discipline, control work, determine promotions, salary increases, bonuses and terminate employment

  • Ensure self and team anticipates, monitors, actively manages and reports all risk and compliance issues, breaches and suspicious activities

  • Act in accordance with Risk Excellence and role model Ethical behavior and decision making

  • Perform other duties as required



Shared Accountabilities:

  • Work in conjunction across Compliance as well as business partners and external parties as needed to resolve issues and ensure accuracy of accountabilities, and adherence to all policies/regulations/guidelines.

  • Share responsibility for problem resolution requiring other State Street team's input

  • Drive open and collaborative communications ensuring regulatory information is shared in a timely manner with key functions

  • Provide assistance to colleagues regarding tasks including but not limited to coordinating and embedding within the region enterprise initiatives and all aspects of the Corporate office functions which may include but not limited to training, awareness of new policies and procedures, evaluating local regulatory requirements, designing and implementing new processes, and performing monitoring and surveillance activities all to ensure a seamless management of the Global Compliance Program

  • Work with other regional officers on issues of mutual interest and concern, to provide coverage/assistance where necessary or to respond as otherwise direct by management

  • Share in the establishment/implementation of compliance training and education programs to keep business personnel apprised of compliance policies and regulatory obligations (inclusive of new employee induction training)

  • Cultivate effective relationships with internal business partners to successfully achieve organizational goals

  • Share expertise with colleagues and other departments


Competent to Expert with a Bachelor's degree, 10+ years of related Compliance experience including previous experience managing staff and well developed knowledge of APAC regulatory requirements.

Other supplemental experience to be considered:

Experience in managing a compliance risk programs in a large complex organization in the financial services sector; Strong background in Governance, Risks and Controls and understand the “Three Lines of Defense” model; Operational knowledge in the topics of anti-bribery and corruption, insider trading and conflict of interest risks, conduct, privacy, ethics, that are high profile in the industry today