Regional Head of Compliance Asia Pacific
AXA
HONG KONG
38天前

Description

The main purpose of the transversal role is to support all AXA IM entities and affiliates in the Asia Pacific region on Compliance related topics.

Key Accountabilities

  • Responsibility and oversight for all aspects of compliance relative to the operations of multiple locally licensed and / or regulated AXA IM asset management entities.
  • Ensure businesses meet the requirements of the local applicable rules and regulations of each jurisdiction in which AXA IM operates within the Asia Pacific region.
  • Manage local Compliance teams in the Asia Pacific region.
  • Create close working relationships with compliance staff working within AXA IM JVs in the Asia region to assist them in implementing applicable group standards.
  • Oversee the completion, filing and maintenance of all locally required regulatory filings and disclosure documents.
  • Supervise the ongoing effectiveness and implementation of local compliance programs and related local policies and procedures across businesses.
  • Define and implement a regional compliance program to ensure that local testing and / or auditing is performed, especially in key compliance areas for each applicable jurisdictions.
  • Ensure each local entity meets the compliance standards, requirements and expectations as may be set forth within the AXA IM standards and / or those of the AXA Group.
  • Oversee the development, operation and facilitation of compliance training programs. S
  • Supervise the relationship with all local regulators and key service providers in each jurisdiction.
  • Perform compliance analysis and reviews of new AXA IM business initiatives in the Asia Pacific region.
  • Support the Global Head of Compliance, as well as the local heads of each entity in the Asia Pacific region, concerning all business initiatives and developments.
  • Participate as a member including presentation of reports as required to the Asia Executive Committee, Board of Directors (attendee), Local Control Committee, Asia Product Committee, Fair Value Committee, Incident Committee.
  • Qualifications

    Education / Qualifications

  • Bachelor’s degree
  • University degree in business economics, finance or comparable education
  • Experience

  • Solid experience in compliance largely gained in an investment management environment with exposure and familiarity in managing related retail and institutional compliance issues
  • Relevant experience coordinating the oversight, coordination and implementation of local and regional compliance teams and systems for large or multi-
  • national organizations

  • Experience dealing with regulators
  • Experience in managing teams
  • Knowledge and Skills

  • Strong knowledge of the rules of at least one of the Hong Kong SFC, Singapore’s MAS and Japan’s FSA and how they apply to an Investment Management business servicing both institutional and retail clients
  • Strong analytical and problem solving skills to identify and mitigate problems
  • Ability to research and implement regional and local policies and procedures
  • Ability to comprehend legal and guideline documents as well as regulatory requirements in multiple jurisdictions
  • Competencies

  • Strong MS Word, MS Excel and MS PowerPoint skills
  • Conversational Cantonese and / or French preferred, but not required
  • What We OfferWe are proud to foster a high-performance culture, which means that we seek to recruit and retain people who are not only technically-

    skilled but also globally-minded, innovative and able to leverage their unique perspectives and life experiences to support our success as a company.

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