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Head of Compliance - North Asia

Location: Singapore/Sydney

Business Summary

Brookfield Asset Management Inc. is a leading global alternative asset manager focused on property, renewable energy, infrastructure and private equity, with over $250 billion of assets under management.

Based in Toronto and New York, we have over a 100 year history as an owner and operator of real assets, offering a range of public and private investment products and services which leverage our expertise and experience. We have more than 700 investment professionals and 55,000 operating employees working in 30 countries around the world. Brookfield is publicly listed on the NYSE, TSX and Euronext Amsterdam.

Position Summary
A new opportunity has opened up for a Head of Compliance - North Asia to oversee the compliance function for Brookfield Asset Management's corporate operations for North Asia, being Japan, Korea, Hong Kong and PRC. This will include managing all aspects of financial services licensing and compliance in the respective jurisdictions where we operate, and developing, implementing and overseeing compliance with key corporate policies, including Code of Conduct and policies relating to ABC, AML and Securities Trading.

Financial Services Compliance
• Ensure that Brookfield is aware of local regulations (and forthcoming regulations) as they affect the investment management and distribution activities in the country/region
• Ensure that local regulations are adhered to either by establishing protocols within the country/region or by incorporating country/regional requirements in existing protocols
• Coordinate initiatives with the U.S. based compliance group to minimize redundancy and conflicting regulatory positions between regimes
• Be a subject matter expert and resource to ensure that the Brookfield's asset management and financial services compliance regime is understood and implemented in the region; and
• It is anticipated that one of the first steps will be to coordinate a comprehensive review of the financial services environment in the jurisdictions where we operate and develop a plan to ensure ongoing compliance in each jurisdiction

Corporate Policy Oversight
• Overseeing the development and implementation of key corporate policies within the corporate function and controlled businesses, including :
    • Code of Conduct
    • Anti-Bribery and Corruption
    • Anti-Money Laundering
    • Personal Trading Policy
    • Privacy Policy
    • Records Retention Policy
• Maintaining records and registers with respect to such policies

Team Oversight
• Oversee a small team of compliance professionals in the different jurisdictions within the region

General Compliance
• Ensure effective identification, measurement, control, management, escalation and reporting of compliance risk across businesses
• Conduct monitoring and surveillance of compliance within the business units
• Produce informative and timely compliance reporting for business and compliance management
• Develop, implement and maintain compliance manuals, policies and procedures to meet regulatory and internal corporate requirements
• Engage closely and pro-actively with the business to keep up-to-date with new products, initiatives, technologies and applications and their implications for the branch
• Provide sound and practical compliance advice and support to the business, delivered clearly and concisely, in a timely fashion
• Identify and provide compliance training to staff when necessary
• Maintain effective relationships with regulators and serve as the primary interface between them and Brookfield
• Arrange for regulatory filings within the scope of the Compliance function to be lodged as required
• Assist the business with and coordinate reviews carried out by internal and external auditors and regulators
• Assist and/or lead compliance projects and as required, on a regional or global basis
• Other general corporate compliance tasks as required

Qualifications & Requirements
• Minimum of ten years of experience in a law firm dealing with financial services regulatory matters or in-house in a senior financial services compliance role
• Proven knowledge, understanding and experience in the Japanese regulatory and compliance environment
• The candidate will have a degree in Law or other relevant tertiary qualification with an exemplary academic record (honor’s preferred).  Any finance qualifications will be highly regarded as well as admission to practice as a Solicitor will be beneficial

We provide a competitive compensation package and benefits plan in addition to offering challenging career development opportunities. This position would be suitable for those candidates who meet the role qualifications and who thrive in a performance-driven environment that emphasizes employee leadership and accountability for delivering results.