DFI Retail Group

As Senior Group Risk, Compliance and Ethics Manager, the role entails establishing a Compliance and Ethics program, promoting it across the DFI organisation and ensuring the relevant regulatory requirements and internal ethical standards are embedded into the business.

Is this your next challenge in Risk and Compliance?

1. Compliance and Ethics

• Develop and execute a company-wide compliance and ethics program which entails but not limited to DFI’s business conduct, anti-corruption, conflict of interest and Speak Up policy and standards.
• Collaborate with Group Legal team in developing and delivering communication, training and embedment materials in respect to ethical compliance (e.g. online training, in-person training)
• Lead and collaborate with cross-functional teams (e.g. IT, Corporate Communications, People and Culture, Finance) to implement certain aspects of DFI’s compliance and ethics program. This includes but not limited to third party due diligence and gift & entertainment.
• Advise management on DFI’s compliance with regulatory requirement and ethics standards. Also, interpret and communicate DFI’s ethical and compliance standards to the DFI business.
• Implement measures and prepare reports that monitor the overall effectiveness of DFI’s compliance and ethics program (e.g. annual compliance culture survey, training completion, Speak Up trend).
  
  

2. Investigations

• Advise management on DFI’s compliance with regulatory requirement and ethics standards. Also, interpret and communicate DFI’s ethical and compliance standards to the DFI business.
• Implement measures and prepare reports that monitor the overall effectiveness of DFI’s compliance and ethics program (e.g. annual compliance culture survey, training completion, Speak Up trend).
• Perform investigations on matters of serious concerns when escalated by the business or raised via DFI’s Speak Up channel particularly if ethical in nature (e.g. fraud, bribery).
• Draft and communicate to business stakeholders’ investigation results which includes identifying control deficiencies or weaknesses, fraud matters, root causes and aligned action plan.
• Validate the aligned actions taken by management following the investigation.

Do you have experience in compliance, ethics and investigations?

• Bachelor’s degree in law, business administration or a related field
• Minimum 5 years of professional experience in a Compliance, Ethics and investigations, preferably in retail industry
• Demonstrable experience of delivery of successful compliance, business conduct and ethics programmes in a large and complex organization
• Strong knowledge of applicable laws, regulations, and industry standards
• Certified Fraud Examiner (CFE) is a strong asset
• Experience in audit and risk management is an asset
• Excellent verbal, written communication and report writing skills in English and Cantonese
• Analytical and problem-solving abilities
• Attention to detail and commitment to ethical integrity
• Project management and organizational skills