Compliance Investigator

HKG Hong Kong Limited (Hong Kong, Hong Kong) 15 days ago
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Job Description:

Compliance Investigator, APAC, Ethics and Compliance

Location

Hong Kong

Reporting Relationship

Global Head of Investigations, Ethics and Compliance

Website

[...] RESPONSIBILITIES

The Ethics and Compliance APAC investigator will conduct Ethics and Compliance investigations in the APAC region and provide other support to the Ethics and Compliance program as appropriate.  Additional investigative support will be provided for Corporate Security, Corporate Audit and other functions as required.  This role will report to the Ethics and Compliance investigation team leader in St. Paul, Minnesota.  The investigator will need the creativity, cultural sensitivity and a measure of autonomy and judgment necessary to make the Ethics and Compliance investigative program effective and successful in the APAC region.  She or he will provide the leadership (Thought, People, and Results) needed to develop and maintain a robust world-class Ethics and Compliance investigation process.  This person will have collaborative relationships with other international area Ethics and Compliance leaders and with the business management, legal, Corporate Security, and other support staff colleagues in the APAC area.  The ability to lead by influence as well as through direct reporting lines is essential.

Specific duties and responsibilities include:

  • At the direction of 3M internal or external counsel as appropriate, provide comprehensive investigative services in the area of compliance, including strong familiarity with 3M Code of Conduct policies and knowledge of other substantive compliance laws, including FCPA, UKBA, Dodd-Frank, and anti-corruption laws of subsidiary country or region.
  • Under the direction of the Global Head of Investigations, Ethics and Compliance, travel throughout APAC region locations to conduct compliance team investigations and be a compliance resource to 3M personnel in the country or region.
  • Work to develop country/region-appropriate investigative strategy, in collaboration with the Global Head of Investigations, Ethics and Compliance, the lead Hong Kong based investigator, Area Sr. Counsel, Ethics and Compliance and VP, Ethics and Compliance.   
  • Communicate and work collaboratively with area 3M Legal Affairs lawyers and Corporate Audit, Finance, HR and other corporate staff services.
  • When requested, work with Corporate Security, Corporate Audit and other corporate functions to conduct APAC centric business conduct investigations.
  • Present investigation findings and trend analysis, as well as provide recommendations on mitigating control weaknesses identified to Area and subsidiaries’ management.
  • Assist inside and outside counsel and provide guidance to 3M paralegal(s) in compliance investigations; manage document preservation, collection, searching, review and production efforts; managing client and third-party interviews; managing reporting and coordinating internal and external teams.
  • Distribute business conduct and compliance messages and content and provide guidance and training, as needed.
  • Provide local support for post-acquisition due diligence work, including document preservation and collection, interview logistics, local vendor support, and related matters. Obtain privacy opinions from Legal Affairs lawyers in the pertinent subsidiary or region.
  • Assist and support Senior Compliance Manager (St. Paul) in tracking and reporting Management Action Plans (MAPs) coming out of internal subsidiary and business compliance assessments.
  • Apply substantive knowledge within practice area, computer software and databases, and corporate policies, procedures, and resources by developing and implementing solutions for productivity enhancements and cost efficiencies.  Review outside counsel and other vendor bills for compliance with corporate billing policies. Review bills for outside vendors, and where appropriate, reduce or adjust bills and approve expenditures for work performed by outside vendors. Work with others to make decisions concerning budgeting objectives and resource allocation, manage budget. 

PROFESSIONAL EXPERIENCE / QUALIFICATIONS

The successful candidate will have:

  • Demonstrable experience in corporate investigations or criminal investigations or prosecution of crimes as part of a state or national criminal justice system.   Background experience should include investigating financial crimes, strong interview skills, and strong writing skills.
  • Knowledge of and experience with Ethics and Compliance programs, concepts and requirements.   The preferred candidate will have an understanding of and first-hand experience with business environments, products and services in a diversified technology or manufacturing company where transferable skills could be developed.      
  • Compliance experience at a multinational organization harmonizing global, country, regional and local objectives and mandates within an Ethics and Compliance organization is desirable. 
  • Collaborative and inclusive leadership style; demonstrated ability to motivate employees, build teams and relationships and engender a sense of results-orientation, personal and organizational accountability, loyalty, independence and fairness among colleagues and employees, particularly in a multi-cultural environment; demonstrated ability to develop employees, manage and lead successfully in geographically dispersed environments and manage by influence. 
  • Highly effective written and verbal communications skills; ability to communicate and relate at all levels of the organization including business line leaders, regional heads and senior management; ability to define and enforce standards where necessary in a persuasive and winning manner.
  • Knowledge base and stature to deliver advice in a manner that is respected and valued by business and staff group leaders and constituents.
  • Strong reputation for integrity and ability to balance business partnerships with the need to exercise independent judgment and to raise potentially sensitive or contentious issues in a timely and constructive manner being both “tough- minded” and fair.
  • Local language fluency may be required, depending on geography.   Fluency in Mandarin is required.

EDUCATION

Undergraduate degree from a well-respected institution is required (preferably with accounting background)

COMPENSATION

A competitive compensation package will include a base salary, incentive opportunity, benefits, and equity participation.

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Compliance Investigator

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