Regional Compliance Job Description

Regional Compliance Job Description

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Regional compliance provides local expertise in compliance related areas including bribery and corruption, competition law, data privacy, anti-money laundering and fraud.

Regional Compliance Duties & Responsibilities

To write an effective regional compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included regional compliance job description templates that you can modify and use.

Sample responsibilities for this position include:

Monitor local personal account dealing processes to identify areas for improvement
Work with other members of the International Tax Compliance team to adapt best practices, including the development of comprehensive review processes for the tax return and other core activities
Leverage tax technology and improvements in financial reporting systems to streamline all processes while providing the same high standards of quality and integrity for all products
Ensure consistency in processes and positions taken globally
Represent Compliance interests on complex issues that require integrated solutions or joint responses (AML, Documentation, Business Head Office, Client Services, Global Compliance)
Assist in developing and maintaining a training program that will provide all team members with a common understanding of the applicable U.S tax law and the filing positions that have been developed and agreed for the company
Provide insight, commentary and input on each compliance team member’s performance, level of skill, and development to the director of International tax compliance
Maintain a flexible approach when discussing issues and differences of opinion with other tax reporting team members to encourage partnership and open discussion among team members
Work with the Director of International Compliance other regional heads of international tax compliance to develop and implement the international portion of the calendar pursuant to which deliverables and deadlines are established and clearly communicated to tax department members (US and local) to ensure timely production of all tax compliance projects
Coordinate resource allocation efforts with Director of International compliance and review project outputs

Regional Compliance Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Regional Compliance

List any licenses or certifications required by the position: DG, FIATA, IATA, CHC, CFE, RHIT, RHIA, CAMS, ACAMS, EMEA

Education for Regional Compliance

Typically a job would require a certain level of education.

Employers hiring for the regional compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Law, Education, Finance, Accounting, Legal, Graduate, Management, Engineering, Business/Administration

Skills for Regional Compliance

Desired skills for regional compliance include:

Bank Secrecy Act and AML Regulations
USA Patriot Act
Office of Foreign Assets Control
Processes
Regulations
Compliance programs
Controls and procedures with strong anti-bribery & corruption
Solutions
Competition law and anti-fraud & theft compliance
Regulatory requirements for assigned territories

Desired experience for regional compliance includes:

Work with other tax reporting team members on global tax projects
Closely monitor requests to the field for efficiency and consider redesigns of quarterly and annual tax packages---to include data that is currently requested outside of the tax packages on a frequent basis
Continue to standardize and improve the international tax reporting process into a cohesive group focused on the global issues and needs of the company
Proficient in time management and able to initiate and manage projects
Advisory - Provide advice on regulatory compliance issues, with specific focus on the Cash, Program and Electronic Execution business
Assist in the development and roll-out of investment compliance standards, policies and practices and ensure their effective implementation

Regional Compliance Examples

1

Regional Compliance Job Description

Job Description Example
Our company is growing rapidly and is hiring for a regional compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for regional compliance
  • Act as a Compliance representative responsible for the review and assessment of exception requests and providing recommendations to Business and Compliance leaders as appropriate
  • Provide CCO, Director Advisory and Compliant Management, and Compliance partners with recommendations regarding policy, training opportunities, Communicaton strategies utilizing feedback
  • Ensure all Service Level Agreements for Advisory and Complaints are maintained
  • Assist with the design, development, and facilitation of Compliance Communication and Training material
  • Project manage CB Asia-wide regulatory, governance or control related rollouts (including but not limited to FATCA and CRS)
  • Set up project governance structure, identify committee members, engage stakeholders, prioritize work-streams, run steering committees, organize working groups and ensure proper project administration
  • Liaise with central PMO or global project teams on behalf of CB Asia
  • Liaises with a number of teams across the business on AML compliance related issues
  • Responsible for Compliance matters as the “one stop shop” for business units and local regulators
  • Evolve the organisation and control environment of Regulatory Compliance
Qualifications for regional compliance
  • Monitor emerging regulatory trends and new legislation impacting the company's investment activities both at group and across operating local business entities and work with regulatory team to ensure impact is properly assessed and implementation properly tracked and reported
  • Participate in pre-appointment review / due diligence of adequacy and effectiveness of compliance functions of external Investment Managers ("IM") and provide recommendation in the selection process
  • Assist in development and roll-out of an investment monitoring and testing program for reviewing compliance with both internal and external requirements which include monitoring and reporting of substantial shareholding, portfolio compliance monitoring
  • Independent and strong self-initiative
  • Bachelor Degree with minimum 2-3 years’ experience in Commercial Banking
  • Good organisation and analytical skills with a keen eye for detail
2

Regional Compliance Job Description

Job Description Example
Our company is searching for experienced candidates for the position of regional compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regional compliance
  • Maintain the Watch, Restricted and Insider Lists and associated processes
  • Handle and ensure the recording of breaches arising related to CR processes, and escalate as appropriate
  • Responsible for designing, managing and overseeing the execution of the regulatory compliance oversight programs
  • Support the effective identification, measurement, control and management of regulatory compliance risk through ensuring that all the regulatory compliance teams within the region adopt and follow the Group Regulatory compliance methodologies
  • Leading the regional compliance and risk assurance team to ensure that the firmwide business activities are aligned with the global compliance practice regulatory requirements
  • The design and implementation of the risk assurance program and ensure that the compliance monitoring and testing of the programs is maintained within each of the local offices
  • Work closely with relevant business stakeholders regionally and ensure that these frameworks are adopted respectively
  • Ensuring that the training, maintenance, testing of framework the communication with the regulators are conducted appropriately
  • Driving any projects or initiative that is related to the regulatory changes related to the Risk Assurance or Compliance Testing framework
  • Program manage the delivery of large scale regulatory programs to ensure DB is prepared and compliant with all upcoming regulatory obligations
Qualifications for regional compliance
  • Strong team player, quick learner, pro-active, motivated and result driven
  • The role requires frequent interaction with Asian countries, thus, candidates with fluency in Chinese, Korean or Japanese will be preferred
  • Knowledge of bank regulatory/compliance is preferred
  • Confident presentation, communication, and stakeholder management skills
  • Structured and organised with proven problem solving skills and ability to handle pressure and deadlines
  • Project management skills or prior involvement in change projects preferred
3

Regional Compliance Job Description

Job Description Example
Our company is growing rapidly and is hiring for a regional compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for regional compliance
  • Build long terms relationships with senior stakeholders across Compliance, Infrastructure and Front Office
  • Build long terms relationships with stakeholders across Compliance, Infrastructure and Front Office
  • Maintain up to date awareness of relevant regulatory environment changes and their impact on various business/infrastructure activities
  • Maintenance of key project artifacts such as, but not limited to the project plan/PID, RAID logs, action trackers and stakeholder maps
  • Good understanding of the global regulatory environment and ability to communicate this effectively to the business
  • Experience of managing large, complex programs for global organizations preferably within a regulatory environment
  • Structured, organized and results oriented approach, demonstrating a high level of diligence and attention to detail and the ability to ensure high quality and consistency in the deliverables produced
  • Perform thorough, timely, and effective investigation of employee’s related matters and ensure complete resolution of these matters
  • Conduct research and investigations to identify the reason for staff potential violations, areas including Code, Data Privacy, Licensing & Registration, Outside Business Activities, Conflicts
  • Identification of issues and trends from the management information, propose and manage implementation of further enhancements and process remediation where required
Qualifications for regional compliance
  • Minimum 5 years experience in similar compliance role or other relevant product, regulatory or risk management experience gained within a financial institution or regulator in Hong Kong
  • University degree, other professional qualification not mandatory
  • Other Asian languages beneficial
  • Take responsibility for specific initiatives within Compliance , training, offsites, team development *LI-JG1
  • Keen interest in a wide range of business types and situations, and desire to ability to build bridges between various functions and locations
  • Minimum of 10 years experience in Compliance or related functions (e.g., regulatory, legal, audit, risk or controls)
4

Regional Compliance Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of regional compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for regional compliance
  • Lead a team of compliance analysts to implement, maintain, and optimize enterprise systems and infrastructure related to key risk-assessed processes in the areas of (1) high risk payment pre-approvals, (2) external, governmental transparency reporting, and (3) commercial third party compliance
  • Drive continuous improvement on all related operating mechanisms, processes, documents and tools, to ensure ongoing standardization and simplification of transactional compliance across the Asia Pacific countries which include Southeast Asia, ANZ, India and Japan
  • Build and refine appropriate measurements of efficiency and efficacy of transactional programs, systems, and processes monitoring tools to identify potential programmatic and other gaps implement appropriate remediation plans
  • Facilitate decision making between the Americas Transactional COE and the business to drive compliance with policies and regulations fully understanding business needs and intentions
  • Ability to manage senior management expectations and competing priorities and follow up proactively on issues
  • Develop, implement, and monitor Employee Compliance improvement initiatives within APAC in conjunction with various stakeholders
  • Assist the leadership team in identifying and assessing high compliance risk areas and develop improvement plan to mitigate the risks
  • Primary Compliance coverage responsibility for the South Asia Currency & Emerging Markets & Global Rates aligned sales businesses, including policy development, training, product/transaction reviews and regulatory advice
  • Assessing the impact of regulatory changes throughout the
  • Preparation and delivery of Compliance training materials in Singapore and across South Asia
Qualifications for regional compliance
  • Extensive knowledge of U.S. political law and ethics issues at the federal, state, and municipal levels
  • Strong managerial, interpersonal, analytical and executive-level communication skills
  • University degree in related disciplines
  • Ideally will have previous experience within Compliance in a regulatory position
  • Proven experience in APAC technology-related regulatory policies
  • Be the subject matter expert for Operations policy, procedure and process for Caribbean Collections
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Regional Compliance Job Description

Job Description Example
Our company is searching for experienced candidates for the position of regional compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for regional compliance
  • Handle, as required, PA requirements of Nestlé Nutrition MENA Region, together with Nestlé local teams (Country Managers, NN staff) on code related matters
  • Together with NiM training & Development, Sales Training & PDM responsible to provide training to all employees on WHO, local codes and WCMs
  • Define the strategy for Nestlé Nutrition PA activities with the Region (role of regional/country NN staff, Market Head, Country Managers, Regulatory Affairs Managers, the Centre)
  • Support markets to manage issues/crises as and when they arise on code related matters
  • Lead, train and develop the next generation / team of NN PA & Code Compliance potential staff in order to establish real lobbying skills throughout the Region
  • Issue clarification on grey areas and legal opinions
  • Manages and Coordinates in the market readiness for internal and external (FTSE4Good) audits
  • Ensure that regulatory requirements are met for new products and support other functions such as Retail, Supply Chain, Transportation, Marketing, Customer Service, and Legal
  • Work with Corporate Medicare Compliance Officer to develop and implement general compliance and privacy training and policies and procedures
  • Maintaining good business relationships, working to partner cross-functionally to understand and address needs and roadblocks and facilitate change as appropriate
Qualifications for regional compliance
  • Experienced in Operations risk and/or Business Analyst in AML related projects
  • Ability to prioritize and work independently to carry out projects
  • To assist in reviewing the compliance related policies and procedures, updating the relevant operation manuals
  • To assist in executing and monitoring the requests made by HKMA and other regulatory authorities, handle ad hoc projects
  • Min 5-7 yrs' experience in general compliance, preferably gained from sizable banks or financial services organizations
  • Proficiency in English and Chinese, fluency in Mandarin an advantage

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