Employee Compliance

Employee Compliance - Contract

5 months contract

Overall Purpose of the role

To investigate employee conduct exceptions, provide oversight & advice and mitigate compliance risks. Help maintain a culture of employee integrity and compliance within the organisation through delivery of appropriate training and execution of controls.

Key Accountabilities

• Development and implementation of policies related to employee conduct that aligns with regulatory requirements and industry best practices.

• Implementation of surveillance and monitoring systems to track and report on employee behaviour.

• Development of training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations.

• Completion of tasks and exceptions from the following areas Breach Management & Reward, Global Registrations (including the UK Senior Managers Regime), Conduct Rules, Mandatory Block Leave and Personal Investments & Affiliations to ensure oversight of relevant Employee Conduct policy and standards.

• Development and implementation of controls related to employee conduct that aligns with regulatory requirements and client organisation's risk appetite and industry best practices.

• Provision of advice and assistance across the client organisation on matters relating to employee conduct.

Stakeholder Management and Leadership

The main activities of the role will involve providing services to internal clients relating to Employee Compliance, ranging from Personal Account Dealing, Gifts and Entertainment and individual licensing, working proactively with the global Employee Compliance teams and with the local country compliance teams/business oversight compliance teams across APAC.

Decision-making and Problem Solving

The role holder supports informed decision-making by providing analysis, insight, and structured recommendations to senior stakeholders. The role requires strong problem-solving skills to identify issues early, assess risks, and develop practical solutions that balance strategic objectives with operational realities. It involves synthesizing complex information, prioritising competing demands, and ensuring decisions are executed effectively and in alignment with business priorities.

Risk and Control Objective

Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal client's organisational Policies and Policy Standards.

Essential Qualifications

• Bachelor Degree's in Business/Finance or any relevant field.

• Demonstrate a good understanding of relevant laws and regulations

• Demonstrate experience in team management

• Demonstrate strong control mindset

• Demonstrate effective communication and good interpersonal skills

• Demonstrate knowledge of key global and/or APAC regulatory rules. Prior experience in regulatory compliance is a plus.

• Demonstrate pragmatic problem solving experiences.

• Demonstrate proactive and collaborative approach in leading projects and framework improvements.

Work Arrangement - Onsite/Structured hybrid role:

The client has a structured approach where colleagues work at an onsite location on fixed, anchor, days of the week, for a minimum of two days a week or more, as set by the business area (or nearest equivalent if working part-time hours). Please discuss the working pattern requirements for the role you are applying for with the hiring manager.

Please note that as we continue to embed our hybrid working environment, we remain in a test and learn phase, which means that working arrangements may be subject to change on reasonable notice to ensure we meet the needs of our business.

Reg no: R1879342

EA license no: 94C3609