• Support the delivery of key processes such as Personal Account Dealing (PAD), Affirmations (AOL), External Directorships & Positions (EDP), Licensing & Registration and Training functions in line with the relevant Standard Operating Procedures. This includes liaising closely with key Employee Conduct stakeholders, C&ORC, the business and other control functions.
  • Identify and escalating potential issues to relevant stakeholders in a timely and accurate manner.
  • Critically review processes to reduce operational risk and improve process efficiency.
  • Coordinate and produce monthly APAC Employee Conduct Management Information reports which are used to provide relevant information to internal and external stakeholders.
  • Coordinate, compile and provide analysis of Key Performance Control (KPC) reports. KPC reports provide a review of the processes and controls for each function.
  • Provide regional governance support to the management of offshore Employee Conduct functions


  • a strong experience in process management
  • a process oriented mindset with a strong attention to detail
  • experience in an environment where no two cases are the same
  • a great communicator, you know how to speak with people at all levels of the organization
  • an expert at building networks and connections
  • a team player
  • known for meeting deadlines

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