Compliance Manager

Job Purpose:

• This job is responsible for the implementation, execution, maintenance, and oversight of the Compliance Program for a trial Hong Kong warehouse sales operation managed by our Mobile Asset Value Recovery business (AVR) while providing support to the achievement of the international business goals and objectives.
• The role holder will be responsible for establishing and directly managing the Hong Kong Compliance Program, tailored to the specific Compliance needs and risks for Hong Kong business including working with the Japan business and US stakeholders.
• In building the Program, the role holder will identify compliance risks and the actions required to mitigate them, prioritizing compliance related tasks and activities using a risk-based approach.  Also, she/he will manage the risk profile for Hong Kong and report on the key compliance risks and the status of applicable mitigation to key stakeholders both in the Ethics & Compliance function and the Business.The role holder will work collaboratively with key stakeholders in the Ethics & Compliance function as well as APAC business leadership teams to deliver on Compliance objectives. Specifically, build and develop relationships with the leadership team and key local staff to ensure Compliance is integrated into leadership decision making and that Compliance policies, ethical values, and compliance with all applicable laws and standards are integral to business conduct.
• In addition, she/he will work with the local Hong Kong team in integrating Assurant’s Corporate Compliance programs into Hong Kong local processes, procedures and controls.  Ongoing engagement will be required with the Corporate Compliance team to assist with the implementation of trade compliance requirements for the Hong Kong market, together with compliance focused supply chain and vendor risk management, due diligence, and oversight.Where applicable, the role holder will support key strategic and tactical initiatives including mergers & acquisition diligence and integration, alignment of compliance efforts to strategic goals and objectives as well as applicable business growth and expansion plans.

Responsibility:

• Advise and guide the Hong Kong business on Compliance matters aligned to the business model and related risk profile.
• Implement and oversight applicable compliance policies, processes, and procedures.
• Perform due diligence and ongoing oversight for vendors, buyers & aggregators and other third parties connected with the Hong Kong business.
• Manage the Compliance Risk Framework for Hong Kong, ensuring appropriate risk mitigation is established, monitored, and reported.
• Work with key stakeholders to incorporate emerging or developing risks into Hong Kong Compliance framework and processes.
• Provide support to the Assurant Privacy Office in meeting Hong Kong’s laws and regulations for the protection of personal data.
• Implement controls and risk management efforts for Supply Chain, Asset Value Recovery, and other key vendor groups.
• Engage with Corporate Ethics & Compliance on the implementation of trade compliance controls for Hong Kong market.
• Manage and oversee the approvals process for business gifts, hospitality, and entertainment for Hong Kong business
• Implement the annual Compliance monitoring plan and track mitigation actions arising from oversight activities – audits, remote monitoring, and data analytics.
• Prepare reports and dashboards demonstrating progress on risk mitigation for Hong Kong.
• Perform data analytics on key risk indicators, monitoring for unusual fluctuations in key metrics.
• Ensure Hong Kong team completes required ethics & compliance training. Provide specialized training on specific Compliance matters to the employees based in the Hong Kong business.
• Support Inventory Management, Inventory counts and reporting.

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