The APAC director will be responsible for the development, refinement and implementation of the CFA Institute Professional Conduct Program in all relevant jurisdictions within Asia Pacific. The position will work closely with regulators in the region to understand local regulation, strength and focus of local investigations, trending of violations and emerging issues. The position will conduct investigations of industry-related conduct by CFA Institute members and candidates to determine whether any violation of the Code of Ethics and Standards of Professional Conduct has occurred. In addition, the APAC director will supervise local monitoring activities in newspapers and other media channels to identify potential violations for further investigation and actively support the PCP liaison program with local societies. The APAC director will represent the CFA Institute disciplinary process with the regional membership and industry leaders along with providing support for the APAC Education and Standard of Financial Market Integrity teams to provide ethics training in the region.
The position will be headquartered in Hong Kong and will be supported by Head, Professional Conduct.
ESSENTIAL FUNCTIONS
1. To develop, refine and implement a relevant Professional Conduct Program in all relevant jurisdictions within Asia Pacific:
Understand and be able to effectively communicate relevant securities laws in the key jurisdictions, which include but not limited to China, India, Taiwan, Hong Kong, Singapore and Japan
Design and implement processes to enable an effective regional professional conduct program
Review protocols and develop process to resolve barriers created by local security or privacy laws to optimize effectiveness
Develop and support monitoring and surveillance requirements appropriate for the region
2. To perform thorough, fair, and confidential investigations of industry related conduct and supervise staff that:
Review, evaluate, and recommend a sound and consistent investigation plan based on complaints and other information received by the PCP that suggests possible misconduct by CFA Charterholders, members or candidates
Communicate with Charterholders, members, and candidates under investigation, their attorneys, employers and representatives, clients and their counsel, regulators and criminal authorities, and others during the investigations
Conduct interviews of and request information from, Charterholders, members, and candidates who are under investigation; potential witnesses; and complaining parties
Gather, review, and analyze documents and other information obtained, these include legal and regulatory filings, briefs, depositions, and decisions; public filings and financial statements
Apply knowledge and experience in the investment profession and securities regulation to evaluate securities laws during investigation
Recommend appropriate disciplinary actions based on investigation findings
Apply a comprehensive understanding of the CFA Institute Code of Ethics and Standards of Professional Conduct, Bylaws, and Rules of Procedure to factual situations
Prepare statements of allegations and statements of charges, exhibits, and other submissions to hearing and review panels, and conduct the PCP’s case at disciplinary hearings
Present and report investigative findings to the Head of Professional Conduct and the CFA Institute Disciplinary Review Committee regarding disciplinary actions and proposed sanctions
3. Direct monitoring activities in media to identify relevant PCP issues:
Supervise performance of frequent, regular surveillance in a variety of global media (financial news outlets, regulatory websites, blogs, social media, etc.) to identify relevant issues and possible cases involving CFA Institute Charterholders, members, and candidates
Recommend appropriate corrective approach, which might or not might be a formal investigation, to the Head, Professional Conduct Program
4. Lead, motivate and develop PCP team in APAC, provide direction, mentoring, performance feedback and support
5. To support the APAC Education and Standards of Financial Market Integrity teams to provide PCP related training to members
Desired Skills and Experience
QUALIFICATIONS
Education/Experience
Bachelor’s degree preferably in finance, business, economics, or accounting
Minimum ten years’ experience of recent, relevant experience in or related to financial industry
Fluency in English and Mandarin required
CFA Charterholder strongly preferred
Previous provide experience of managing teams
Demonstrates the ability to manage competing priorities and changing expectations, working effectively through the team to accomplish key objectives.
Must demonstrate outstanding stewardship and relationship building/management skills to expand the mission of CFA Institute
Must have strong research, investigative, and analytical skills, good working knowledge of the securities markets and industry regulations
Knowledge and experience of regulatory compliance issues for the investment profession
Knowledge of the fundamental ethical responsibilities of investment professionals, the CFA Institute Code of Ethics and Standards of Professional Conduct, the Asset Manager Code of Professional conduct and other codes as appropriate.
Creative, inventive and ability to work from ambiguity
Ability to create new and unique ideas and an entrepreneurial spirit a plus
A strong sense and commitment to fostering professional ethics
Global cultural orientation and working experience a plus
Experience using Client Profiles or other similar case management software applications a plus
Excellent interpersonal skills including a professional and diplomatic demeanor
Excellent communication skills including written, verbal, listening, and presentation
Proficient using standard office software such as Word, PowerPoint, Excel, Outlook
Very high level of organizational and time management skills
Must demonstrate good judgment and mature business skills
PHYSICAL REQUIREMENTS
Full time in the office
Energy to put in the hours of concentrated work necessary to achieve goals while maintaining a positive attitude
Ability to quickly adjust to new global locations and conditions
Must travel comfortably
TRAVEL REQUIREMENTS
Some regional and global travel will be required. This includes travel to meet regulators, engage societies, in person hearings, meetings, and conferences
CULTURAL ELEMENTS AND GLOBAL COMPETENCIES
Global Perspective - Understands business on a global scale, understands differences in people and cultures, and is effective across varied conditions.
Effective Communication - Communicates clearly and succinctly in a variety of settings and styles, listens, and presents a professional image.
Stakeholder Focus - Identifies and understands stakeholders and their needs, acts with their interest in mind, and gains their trust and engagement.
Agility - Responds quickly to opportunities, is flexible, and effectively embraces change.
Strategic Vision - Recognizes trends and opportunities, acts accordingly, and thinks critically which translates into a compelling and inspiring vision
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