At Third Bridge, our Compliance framework is an integral part of our business; as such we are looking to hire a Compliance Examiner to join our compliance team in Shanghai and work with our newly established independent Third Bridge Audit team. The main purpose of this role is to examine, investigate and monitor adherence to compliance policies and procedures throughout Asia. This role will serve as a standard bearer and strong voice of compliance in the region.
The Compliance Examiner will report directly to the Chief Compliance Officer and work closely with senior members of the Legal and Compliance team. This role is expected to regularly interact with stakeholders throughout the business to investigate, evaluate, and enhance business activity and will play a key role in managing business risk
Demonstrated ability to independently examine and investigate business activity, develop remediation plans, and report finds to senior management
Demonstrated ability to develop strong working relationships across the organisation working with individuals at all levels and across offices in order to gather information and communicate feedback.
Ability to critically evaluate and identify risks
Excellent oral and written communication skills
Ability to navigate complex and competing goals and interests to achieve results
Organised with excellent attention to detail
Examine and investigate compliance related issues involving clients and employees throughout Asia
Confidently engage with stakeholders at all levels and across the business in order to conduct audits or investigations
Be responsible for providing written and oral feedback on investigative findings and ensure concerns are drawn to the attention of compliance and business senior management in a timely manner
Conduct gap analysis and risk assessments to proactively identify compliance risks
Design, implement, and document remediation plans for identified compliance concerns
Develop a scalable and repeatable investigative process
Work with the compliance team and IT to develop and maintain robust compliance reporting metrics and systems to ensure Third Bridge is compliant with applicable laws, internal compliance procedures and pre-agreed client specific processes
Assist in the planning and execution of internal audit programs to address compliance related findings as required
Work closely with our IT team to gather or explore internal data as required
Undertake special projects arising through communication between the business and compliance senior management
Degree level qualification (or equivalent)
3 to 4 years previous audit, examination or investigative experience is necessary, preferably within financial services
The successful candidate must, by the start of the employment, have permission to work in the country they are applying.
We know that to be truly innovative, we need to have a diverse team around us. That is why Third Bridge is committed to creating an inclusive environment and is proud to be an equal opportunity employer. If you are not 100% sure if you are right for the role, please apply anyway and we will be happy to consider your application.