The Client of Elite Group Asia is a global leader in the provision of high performance technology solutions.
The Regional Compliance Director will report to the our clients’ Chief Compliance Officer. The Director is responsible for business partnering the regional leadership to drive and coordinate the implementation and monitoring of our clients’ ethics and compliance program designed to prevent, detect and respond to ethics and compliance issues arising from our clients’ employees and third party business partners. These include policy implementation, education and training, compliance controls, monitoring, investigation of reported and suspected compliance issues, support risk assessments and remediation efforts with company personnel and business partners. In addition, The Director is responsive for the regional management of the channel partner compliance program including partner on-boarding controls and oversight of continuing channel partner compliance efforts.
This Regional Compliance Director will chair the cross-functional Client Regional Compliance Committee. The Regional Compliance Director will have lead responsibility with their respective theatre for implementation of our clients’ compliance programs. The scope of ethics and compliance issues will include any violations of law, the clients’ Code of Business Conduct, corporate policies and the clients’ Business Partner Code of Conduct and specifically includes but is not limited to:
- Bribery and corruption
- Conflicts of interest,
- Export controls,
- Fraud, embezzlement and revenue diversion,
- Money laundering,
- Side letters and revenue recognition issues, and
- Competition law violations.
In carrying out these responsibilities will work closely with Sales Operations, Finance, Corporate Accounting, Internal Audit and Corporate Security.
- Regional Leadership . Lead the integrated Client Corporate Compliance Program within the APAC Region ensuring that all compliance policies, processes, training efforts and risk remediation efforts and all efforts of key compliance stakeholders are properly aligned with one another and the goals of the Client ethics and compliance program.
- Champion. Coordinate and support senior regional leadership efforts to drive Client employee and third party business partner awareness and commitment to preventing, detecting and responding to ethics and compliance issues. Chair the Client Regional Compliance Committee and ensure broad and active participation in the regional compliance program.
- Compliance Policy Resource . Serve as a key point of contact regionally for the Client ethics and compliance program and a source of assistance for compliance policy issues including gifts, travel and entertainment (GTE), the responsible conduct of customer marketing events and the compliant expenditure of partner marketing development funds (MDF).
- Transactional Due Diligence . Provide “transactional due diligence” support and awareness training to help Client employees and channel partners identify “red flags” in proposed transactions that may be indicative of compliance issues or risks that require additional review. Ensure that the transactional due diligence is thorough, documented and preserved.
- Business Partner Due Diligence . Participate in regional channel partner “on-boarding due diligence process” to prequalify prospective (and renew current) Client Tier 1 and Tier 2 channel partners (and other key business partners) as possessing the necessary integrity and compliance resources to protect Client from fraud and risk from third party compliance breaches.
- Investigations Support . Under the supervision of the Client Chief Compliance Officer and/or Director of Compliance for Investigations, conduct legal compliance investigations of suspected noncompliance with the law or Client policies or standards by either Client employees or third party business partners.
- Conflicts of Interest. Support the Client conflict of interest disclosure and remediation process by responding to potential employee conflicts disclosed in employee questionnaires, confirming potential conflicts and ensuring disclosed conflicts are resolved and controlled.
- Remediation Support . Assist regional business operations in remediating significant compliance risks (arising from reported issues, audit findings or compliance risk assessments) by assisting in the design and implementation of legally required compliance controls.
- Risk Performance Reporting. Partner with Sales, Internal Audit, Legal and other partners to summarize and report compliance related issues and risks based on key performance indicators.
- Training and Communications . Partner with regional Sales. Legal and Channel Compliance teams to ensure consistent communication and training of Client’s specific integrity and compliance standards to channel partners and track completion of such requirements.
- Effectiveness Metrics . Identify and utilize compliance effectiveness metrics and effective leading indicators of potential compliance issues arising within Client operations and noncompliance with specific Client channel partner standards.
- Risk Assessment. Support the Client legal compliance risk assessment process as applicable to Client channel operations and third party compliance risks.
- Prior leadership experience in ethics and compliance management, financial accounting, auditing or similar functions;
- Demonstrated experience in the design, implementation and monitoring of preventative and detective controls over compliance risks;
- Significant prior experience in channel distribution management, finance or auditing;
- Strong understanding and experience in multinational financial operations; and
- Extensive experience with working with senior management
- Demonstrated skill and knowledge in at least one of the following:
- Ethics and compliance management,
- Internal audit
- Risk management
Personal Attributes/Interpersonal Skills
- Ability to maintain independence, autonomy and confidentiality
- Exceptional communication, cross group collaboration and interpersonal skills
- A team player with the proven ability to manage cross group and cross country boundaries
- Highly developed analytical and organizational skills
- Proficiency in conflict resolution
- Ability to multi-task
- Pro-active self starter
- BA/BS in related field
Special Requirements/Language Skills
- Fluent in English
- Fluent in Mandarin, Cantonese, Japanese, Korean or other