Director, Compliance, Apac

The opportunity

The Compliance Department’s vision is to be a trusted partner and advisor to help Teachers’ global business lines effectively manage risk, regulatory compliance, and related best practices in accordance with Teachers’ risk tolerance and to help build a sustainable culture of compliance.

Who you'll work with

The Director, Compliance Asia Pacific (APAC) will be part of a global team that helps manage and support all compliance matters for Ontario Teachers’ Pension Plan including six key functions of the Compliance Operating Model: i) Advisory, ii) Policies and Procedures and Controls, iii) Education and Training, iv) Monitoring and Surveillance and Remediation, v) Compliance Risk Management, vi) Compliance Reporting to Senior Management and the Board.

The Director will be the first point of contact for compliance matters in APAC and the key point of contact for APAC stakeholders, located in Singapore, Hong Kong, and India.

What you'll do
- In collaboration with the global Compliance team, build, shape, and advance the global Compliance program and operating model
- Specific oversight and accountability for leading the APAC Compliance plan, ensuring it is aligned with Ontario Teachers’ and Corporate Affairs’ overall strategic objectives, notably from a risk and compliance perspective
- Establish and manage standards, and implement procedures ensuring the global Compliance program is aligned, effective, and efficient (commensurate with risk) in identifying, preventing, detecting, and correcting non-compliance with applicable laws and regulations
- Provide sound compliance and risk management advisory support to business partners considering regulatory developments, external and/or internal examinations, or general compliance matters while also factoring in analysis of business impact
- Identify, monitor, and respond to diverse new & proposed external regulations each with varying levels of complexity with little internal precedent including, where applicable, developing and submitting Teachers’ positions in relation to such changes in collaboration with other disciplines across Corporate Affairs
- Oversee and ensure accuracy and completeness of all regulatory requirements in the APAC region including requirements relating to MAS, QFII regime, HK Stock Connect, and India FPI regime while supporting (as needed) SFC licensing requirements for the Hong Kong entity
- Establish & administer training, education, and supervisory activities for all global Compliance policies: Code of Conduct (including personal investing), Insider Trading, Government Relations & Lobbying, Sanctions & Anti-Money Laundering, Anti-Bribery/Anti-Corruption, Hong Kong Operating Policy, OTPP Asia Compliance Manual, and Global Privacy Policy
- Initiates, facilitates and promotes activities to foster information privacy awareness and serves as an information privacy resource to the APAC region. Maintains current knowledge of applicable APAC privacy laws and related regulatory and case law developments, including guidance provided by respective privacy/data protection regulators.
- Monitors advancements in information privacy technologies ensuring organizational awareness, adaptation, and compliance where applicable
- Manage standards and maintain awareness of Fraud Risk Management and Speaking Up programs
- Manage strong working relationship with external counsel and act as regulatory liaison (as required) with regulatory bodies in the APAC region
- Coordination with various business functions for ensuring that the Investment activities are following regulatory, legislative, and policy requirements
- Develop and prepare periodic compliance reporting to senior management and the Board, including APAC Board
- Maintaining systems/records to demonstrate appropriate decision-making processes and monitoring/compliance with internal policies and external laws and regulations (e.g. for internal audit purposes and/or external regulatory investigations)
- Foster collaboration across Corporate Affairs by partnering individually and collectively on Corporate Affairs workstreams
- Build collaboration and provide support to other functional compliance program areas as required to ensure consistency in approach to controls and risk management
- Develop network and liaise with a broad range of global industry peers
- Responsible for the development and/or enhancement of the compliance infrastructure, policies, and procedures, and develop and execute controls to mitigate operational and compliance risk
- Consistently ensure cross-departmental coordination, mobilizing the right people and ensuring deliverables are completed properly and on time, with a continuous global mindset of the compliance program
- Build strong relationships and trust across all business lines. Viewed as a key representative of Corporate Affairs and resource to the APAC Executive Managing Director
- Effect change and strengthen Compliance team culture. Bu