Compliance Assurance SME – Testing and Monitoring (APAC & MENA)

Job title: Compliance Assurance SME – Testing and Monitoring (APAC & MENA)

About the Role The role supports the global Head of Compliance Assurance and the regional Heads for APAC and MENA in delivering the Compliance Assurance program, acting as the SME for Testing and Monitoring for APAC & MENA. All employees are expected to understand and comply with relevant Sarbanes-Oxley operational requirements.

What You'll Do

• Lead risk-based desk and thematic reviews as per annual Compliance Assurance Plan, including scoping, testing, reporting and communicating findings to senior stakeholders.
• Fully implement the Compliance Monitoring plan for the regional offices working with the global Compliance Assurance Team.
• Ensure timely delivery of high quality and value adding testing and monitoring reports.
• Assist with the production of the Annual Compliance Assurance Plan focusing on APAC and MENA.
• Validate remediation actions stemming from assurance work, to ensure effective completion.
• Build strong and collaborative working relationships within Compliance globally and support the regions with Assurance activities.
• Support the wider Compliance team by undertaking ad-hoc compliance-related activities such as regulatory information requests, investigations, or incident-related root cause analysis.
• Collaborate with key stakeholders in the business and risk & control functions for integrated and consistent risks assessments approach.
• Coach, mentor and develop junior staff.
• Identify industry best practice and share insights with the rest of the team.

What We're Looking For

• Extensive experience in a Compliance Monitoring/Assurance, Advisory or Audit role within an APAC and/or MENA regulated financial institution.
• Experience of working as part of a global team.
• In depth knowledge of regional regulatory requirements, including market abuse.
• Broad knowledge of compliance regulation and understanding of risk assessments and assurance activities.
• Highly skilled influencer, adept at relationship-building.
• Proactive problem-solver, self-motivated and resilient in a fast-paced environment.
• Ability, patience and enthusiasm to coach, mentor and develop junior staff.
• Able to multi-task, prioritize and deliver high quality results with tight deadlines.
• Ability to navigate a complex organization.
• Excellent written, verbal and interpersonal skills.
• Proficient in Excel and Word, and experience in use of IT systems and databases.
• Knowledge of Structured Products, Exchange Traded Derivatives, OTC Derivatives would be beneficial but not essential.
• Experience or interest in data, analytics and AI beneficial.
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.

Nice to Have

• Knowledge of Structured Products, Exchange Traded Derivatives, OTC Derivatives would be beneficial but not essential.
• Experience or interest in data, analytics and AI beneficial.