Our client is a Global Fintech firm looking for a Senior Compliance Manager for the Asia Pacific Region, you will be responsible for ensuring that the business in the Asia Pacific Region maintains full compliance with applicable laws and regulations and work closely with the global compliance team. You will report to and engage with the Global compliance team to ensure that the Asia Pacific compliance policy and processes are aligned. This position will preferably be based in Taiwan, but we are open to other countries such as Singapore or Hong Kong.
- Analyse new business initiatives for potential compliance risk, identify risk mitigation activities, and ensure business remains within approved compliance risk appetite.
- Exercise sound judgment to effectively assess and balance risk when providing compliance advice to the business.
- Maintain expert knowledge of applicable laws, regulations and supervisory guidance, keeping up with and advising the business on current and emerging developments.
- Keep track of applicable laws and regulations and direct relevant functions to update operating manuals and procedures to stay up to date with new developments and changes.
- Regularly interact with business partners and risk management colleagues, both 1:1 and in group settings, to influence processes, procedures, and controls.
- Provide guidance on controls over regulatory requirements and business line monitoring of those controls.
- Develop compliance manuals and review other compliance policies and procedures on a regular basis.
- Regularly review internal policies, procedures and guidelines from a compliance perspective.
- Assess the impact and potential compliance risk exposure of operational breakdowns or findings, including customer complaints, and advise business during remediation; and
- Identify trends in internal and external compliance data and proactively advise on identified risks.
The ideal candidate will possess:
- A strategic, action-oriented style that can deliver solutions, even in ambiguous situations.
- Demonstrated ability to quickly adapt in a fast-paced and fluid environment.
- Highly developed interpersonal and communications skills coupled with the ability to influence others to reach agreement and catalyse change.
- The ability to work as a team player and build strong relationships with associates across functions, departments, and levels.
- Flexibility in approaching work, resourceful when finding solutions and driven to innovate and find the best outcomes for our business.
- Ability to balance operating independently with appropriate escalation and interaction with leadership; and
- The highest ethical standards and unwavering integrity.
- Bachelor’s degree in law, business administration, finance or related fields
- At least 7 years of compliance risk management, risk management, legal, or audit experience
- Experience working within a digital or online business model
- Experience in the cross-border transfers, fintech or payments preferable
- Experience working in a start-up sector or understand how to operate well in a start-up environment
- Mandarin is a requirement to communicate with external stakeholders and regulators
Location: Taiwan, Singapore, Hong Kong
EA Licence No: 09C5764 / EA Registration No: R1873091
Descriptif de l'entreprise
Principle Partners is an Asian specialist in buy-side executive search with a focus on Asset Management, Private Equity, Venture Capital, Hedge Funds, Technology Companies, and Wealth Management.
The firm is headquartered in Singapore and covers the Asia Pacific region.
Client profiles for asset management include international, regional and boutique fund houses and sovereign wealth funds. For private equity, we serve global, pan-Asian, regional and country-specific funds looking to deploy capital in Asia, with strategies including buy-outs, control investments, growth equity, and early stage investments.
Our hedge fund clients range from start-ups to the largest international funds, with strategies including equity long-short, event-driven, convertible bond arbitrage, Asian/global macro, distressed debt/special situations and high-frequency trading.
We have a strong track record for senior positions placements at the world’s largest asset managers, sovereign wealth funds, private equity, hedge funds, and family offices. We also cover middle and back office roles such as legal, compliance and risk management to support the core front-office investing roles.