Regional Compliance Manager

Lockton Federal Territory of Kuala Lumpur, Malaysia

Regional Compliance Manager

Lockton Federal Territory of Kuala Lumpur, Malaysia

To facilitate and monitor activities and operation of entities in Asia region, ensuring that the entities conduct business in compliance with local and international legislation and regulations that relate to the entities’ operation, as well as professional standards and internal requirements from the Lockton Group to deliver good organisational outcomes.

Responsibilities

• Collaborate with business teams with respect to development and improvement of process workflows
• Monitor licence / registration application & renewal, regular regulatory submissions / reports / returns to regulators / government authorities, manage relationship with regulators
• Understand regulations (include E&O issues) that affect the business and communicate regulatory requirements to management and associates
• Devise and / or implement policies and procedures required by external requirements and Group, including conduct of compliance trainings
• Monitor changes to laws and regulations, communicate changes and its impact to the team, management and associates (including training), devise new or update existing policies and procedures to cope with the changes
• Compliance reviews / health checks on business operations to identify gaps that need to be addressed
• Controls and assurance activities (File Review, AML, Sanctions controls, client on-boarding, Market Security, financial crimes prevention etc)
• Contribute to risk management assessments and controls across Lockton Asia entities
• Provide management information to local and group management, keeping them aware of the state of various controls of the company, matching the state of control with the company’s risk appetite
• Maintain the business continuity plan in accordance with the Lockton Group requirements

Qualifications and Experience

Position details

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