Regional Head of Compliance Asia Pacific

Location HONG KONG, Hong Kong
Experience level Experienced Hire
Job details sector Legal and Compliance
Apply before Date not available

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.


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



Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things.

In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers.

We are an active, long-term, global, multi-asset investor focused on enabling more people to harness the power of investing to meet their financial goals. By combining investment insight and innovation with robust risk management we have become one of the largest asset managers in Europe, managing €746bn in assets as of the end of 2017. We employ about 2,400 people around the world and operate out of 21 countries.



We 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.