Compliance Officer - APJ

Global Compliance establishes the framework and standards, the Regional Compliance Officer oversees APJ implementation and escalation, and local entities retain statutory responsibilities. Under the three-lines model, the first line owns risks, controls and remediation; the second line, Compliance, independently oversees and challenges risk management; and the third line, Internal Audit, provides independent assurance.

• Coordinate implementation of the HPEFS global AML governance framework and core AML standards across APJ, supplemented by controlled country requirements and regulatory addenda. 

• Oversee the regional effectiveness of customer due diligence, beneficial ownership identification and verification, customer risk rating, enhanced due diligence, PEP controls, sanctions and adverse-media screening, ongoing monitoring and periodic review. 

• Provide oversight and challenge of higher-risk customer decisions and escalations in accordance with approved global and local approval authorities, without displacing locally reserved statutory decisions. 

• Ensure suspicious activity escalation and reporting arrangements are documented, timely and aligned to the requirements of the relevant jurisdiction and financial intelligence unit. 

• Coordinate AML/CFT and sanctions risk assessments, control testing, quality assurance, issue management, management information and trend analysis across the region. 

• Represent APJ compliance requirements in AML technology design, configuration, data requirements, user acceptance testing, implementation and post-implementation assurance. 

• Monitor regulatory developments, enforcement themes and FATF/APG-related changes relevant to the assigned markets and translate them into proportionate actions. 

• Maintain oversight of regulatory obligations, licence conditions, filings and supervisory commitments.
• Coordinate regulatory change assessment, implementation and closure.
• Advise and challenge on products, business change, outsourcing and cross-border activities.
• Coordinate regulatory engagements, examinations and remediation through authorised local entities or officers.
• Report material risks, breaches, developments and required decisions.
• Maintain effective governance, escalation and decision records.

• Oversee regional compliance risk assessments and risk-based monitoring.
• Advise on products, credit and leasing activities, customer communications and business change.
• Coordinate third-party compliance due diligence and oversight.
• Manage breach escalation, investigations, remediation and systemic improvements.
• Deliver compliance training and coordinate with other assurance functions while preserving independence.

• Work closely with HPEFS Legal on regulatory guidance interpretation, application and co-ordination of external third parties as needed
• Provide independent compliance advice and challenge to APJ leadership.
• Build effective relationships across regional, country and control functions.
• Reinforce first-line ownership and accountability for compliant execution.
• Promote consistent regulatory interpretation and evidence-based decisions.

• Degree in Law, Finance, Business, Economics or a related field; relevant postgraduate qualification or professional certification desirable.
• Approximately five years’ compliance experience in regulated financial services, including multi-jurisdictional APJ exposure.
• Experience in regulatory governance, licence obligations, regulatory engagement, risk assessment, monitoring, remediation and management reporting.
• Practical knowledge of AML/CFT, sanctions, KYC/CDD/EDD, beneficial ownership, PEP controls and suspicious activity escalation.
• Ability to implement consistent regional standards while addressing local regulatory requirements.
• Experience with technology-enabled compliance processes, data and reporting.
• Ability to work independently and influence effectively within a matrix organisation.

• Strong regulatory judgement, integrity and ability to provide independent challenge.
• Ability to translate regulatory requirements into practical controls and procedures.
• Strong analytical, communication and senior-level reporting skills.
• Effective programme, project and action-management capability.
• Ability to work effectively across APJ jurisdictions and cultures.
• Fluent business English; relevant APJ language skills desirable.

• Timely completion of regulatory obligations, filings and supervisory actions.
• Effective and consistent AML/KYC oversight and escalation.
• Delivery of the compliance monitoring plan and timely remediation.
• Timely, practical compliance advice on products and business change.
• Accurate reporting and early escalation of material risks and trends.
• Effective completion of compliance training.

Reduction in repeat findings, overdue actions and preventable incidents.

HPE is committed to creating an inclusive and accessible workplace and encourages applications from all qualified individuals, including those with disabilities. If you believe you require accommodation during any stage of the application or interview process, please submit your request by completing our secure form linked here.

Note: This option is reserved for applicants needing assistance/reasonable accommodation related to a disability.

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