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PRIME DERIVATIVES COMPLIANCE- VP INVESTMENT BANK
Deputy Head of Compliance, APAC - Director level
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(Assistant) Financial Compliance Manager (Financial Reporting)
Bank of China
- Accounts Receivable
- Purchase Orders
- Relationship Management
- Risk Management
Location: Hong Kong
Provides programs to improve operational efficiency, consistency, and compliance in support of the organization*s financial and tactical business objectives. Provides business practices and processes. Develops, communicates, and trains the organization on business practices and processes.
Serve as a liaison with other divisions such as Finance, Contracts, HR, Legal, Shared Services, Accounts Receivable, Purchasing, and Risk Management in an effort to ensure accurate and timely transaction processing. Collect, input, verify, correct, and analyze data to measure key performance indicator actual versus business objectives. Provide updates to management regarding budget to actual, informing them of deviations and opportunities. Provide management with economic impact and compliance issues surrounding key business decisions and/or deals. Communicate Oracle Business Practices to the organization and monitor process and approvals for full compliance. Drive implementation of new processes and procedures.
Duties and tasks are standard with some variation. Completes own role largely independently within defined policies and procedures. Attention to detail critical. Ability to collect, organize, and display data in spreadsheet format. Follow-through skills necessary to get information from internal and third parties and have data errors/omissions corrected. Relationship management skills strongly desired. Strong written and verbal communication skills to interact with management and possible clients desired. 2 plus years relevant work experience.
· In collaboration with the Global Compliance and Ethics team, responsible for implementing Oracle’s Compliance and Ethics Program and achieving specific program objectives throughout Asia Pacific and Japan region.
· Reports to the Deputy Compliance and Ethics Officer
2.1. Support Functions
· Responsible for administrative support to Deputy Compliance and Ethics officer and GC C&E officer
· Independent handling of major tasks, business and improvement projects
· Assist in contacts with compliance key stakeholders (HR, A&C and Other LOBs)
· Assist in monitoring and implementing compliance policies and business practices
· Maintain working relations across LOBs
2.1. Analyst Functions
· Generate a quarterly Global Compliance Report (“GCR”) that reflects compliance matters reported, in progress and closed in each quarter in a form suitable for presentation to senior management and the Finance & Audit (“F&A”) Committee.
· Prepare system analytics and reporting for senior management on Management Action Plans (MAP) arising from compliance investigations. Collaborate and meet with key stakeholders as required to ensure agreed actions are carried out. Track progress of each (MAP) and enter all updates in EthicsPoint up to its closure.
· Administer the global compliance approvals process for business courtesies, conflicts of interest, and other compliance approvals, and respond to requests for approvals as appropriate.
· Maintain records of approval requests for marketing events, sponsorships, meetings, business courtesies and entertainment, disclosure of conflicts of interest and external engagements in the region. Streamline administration through development of approval tools and effective communications to Oracle employees.
· Generate and process purchase orders, contracts or retention letters and invoices.
· Gain a working knowledge with respect to designated software solutions, specifically the EthicsPoint Case Management system and the Oracle Integrity Helpline, provide application-level expertise to C&E officers, training and documentation, enforce the quality and consistency of the data entered into and/or produced by each, as applicable.
· Maintain the global Compliance & Ethics training calendar and register completed trainings.
· Gain a working knowledge of the anti-corruption laws, stay informed of industry trends and developments in corporate compliance and ethics, consider implications for Oracle’s use of technologies, and make recommendations for improvements.
· Assist in accomplishing Compliance and Ethics Program goals by accepting new responsibilities from time to time, and by exploring opportunities to add value to the organization.
· Undergraduate degree from top institution.
· Experience in the high technology industry as well as previous experience in compliance preferred.
· Integrity and commitment to the highest ethical standards and personal values.
· Superior written and oral communication skills with an ability to communicate and influence effectively at all levels of the organization.
· Excellent judgment and the capacity to make decisions and give advice and review requests that demonstrates an understanding of the risk/rewards of each situation.
· Excellent organizational skills and ability to prioritize and balance multiple tasks.
· Proven project management skills and experience, excellent technical skills and the ability to simultaneously handle multiple tasks and prioritize work as needed to meet business requirements.
· Eagerness to learn and take initiative to develop and grow in the role.
· Strong presence and the ability to quickly gain the confidence of business clients.
· Practical and creative problem analysis and resolution skills.
· A high level of passion, self-motivation and commitment to teamwork and client service.
· Fluency in English (written and spoken) required. Additional local language skills strongly preferred
· Willingness to travel in the region on an exceptional basis, if needed.