Regional Compliance Officer - APAC

Position Type
Full-time permanent
Business Area / Division
Legal
Location
China - Shanghai
Job Advert Description

The duties and responsibilities of each Compliance Officer with respect to administration and implementation of the Policy shall include:

  • Ensuring that relevant Employees within the Group company receive and acknowledge in writing that they have received, reviewed, and understand the Policy and will comply with the requirements therein;
  • In consultation with the CCO, arranging and facilitating suitable periodic training designed to explain the Policy, its legal elements, obtaining necessary training and certifications and maintaining records of all training sessions;
  • Responding to enquiries by Employees regarding any aspect of this Policy or other compliance matters and escalating issues (such as suspected violations or compliance risk areas) as appropriate to the CCO, Business Unit Head and senior management;
  • Referring any reports of suspected violations to the CCO, Business Unit Head or senior management and assisting with the investigation of reports of such violations at the request of the CCO, Business Unit Head or senior management;
  • In consultation with the CCO, making recommendations regarding appropriate systems and internal controls to implement the Policy and its elements;
  • Ensuring that a record-keeping system is developed and maintained encompassing all elements of the Policy, including all applicable regulatory requirements;
  • Publicising this Policy and the Ethics Hotline throughout the business' physical premises;
  • In consultation with the CCO providing support and assistance to other group Compliance officers to cover duties in his/her absence;
  • Ensuring the adequacy and effectiveness of policies and procedures (including in respect to the separate policies regarding (a) Russia, Crimea and Sevastopol, (b) Iran, and (c) Cubain place for identifying and complying with applicable export control and trade sanction requirements and assisting the businesses in preparing and submitting approval requests.
  • Before engaging in any transaction (including sales, related marketing, financing, logistics or other services), all third parties must have been screened by the local Compliance Officer using the screening tool designated by the CCO to determine, in particular, whether the transaction involves or relates to (whether directly or indirectly) any of the persons listed below ("Sanctions Targets"). In some cases, the CCO may designate that screening be carried out by one Compliance Officer on behalf of more than one region. Third parties in this respect include customers / end users, agents, financial institutions, vessel names and any other third parties involved in the transaction (agents, distributors and independent service stations should already have been screened as part of the third party process under the anti-bribery protocol discussed below). This screening requirement applies to all transactions involving the Group or Group companies.
  • Special requirements apply to dealings with parties located in certain high risk. The legality of transactions involving these countries and the screening necessary for third parties and products varies depending on the level of sanctions imposed in respect of each.
  • The local Compliance Officer is responsible for arranging relevant training and assisting the Group company by conducting the screening of any proposed or actual transactions and, where appropriate, reporting any concerns to the CCO.
  • liaising with the CCO to ensure that appropriate guidance on specific legal and regulatory obligations and issues involving ethical business practices is disseminated to Employees;
  • facilitating suitable periodic training for Employees and, where appropriate, for Third Parties to ensure familiarity with and understanding of relevant laws, the Policy, the Code of Conduct and other applicable laws mandating ethical business practices;
  • supervising and coordinating the due diligence of Third Parties, assisting with the monitoring of their compliance with the Policy and all other procedures and maintaining records of this;
  • reviewing and authorising gifts and hospitality requests from Employees;
  • liaising with the CCO in relation to the conduct of bribery risk assessments in order to consider the need for any additional risk-based mitigation procedures; and performing such other duties as the Group or CCO may request.
  • The role will also require an understanding of Survitec’s export control processes and being able to lease with the export control officer as and when required.

Knowledge and Experience

  • Excellent written and verbal communication skills
  • Attention to detail
  • Ability to multi task whilst working under pressure
  • Proactive and self-motivated - able to work independently as well as in a team environment
  • Computer literate
  • Ability to explain complex concepts in a clear and concise manner 
  • An understanding of compliance laws and compliance experience an advantage

 

 

Closing Date
28/02/2019

Apply now Back to search