Managing Director, CAO APAC Compliance
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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
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