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Manager, Audit & Compliance, Asia

Thomson Reuters Professional & Consulting Services 12/14/2017 3:35:00 AM Hong Kong, Hong Kong
Job Description

Manager, Audit and Compliance

Financial and Risk

Go-to-Market (GTM), Asia

Position Summary

Audit & Compliance team is a centralised function working with local units and management to carry out audit & compliance reviews and consultancy at our client sites. The team provides valuable input for the development and implementation of commercial policy in the area of market data usage and data control.

The role of the Audit & Compliance Manager is to conduct compliance / consultancy reviews across all geographical units as required, establishing an area of expertise and excellence in data usage, cost and data control, while offering positive and proactive consultancy to our Clients on all Data compliance issues. A prime focus of the role is on un-contracted use of Thomson Reuters content used across the whole operation from front, mid and back office including infrastructure software licensing requirement.

Role Responsibilities

  • Plan compliance reviews ensuring relevant client operations, systems and products environment and related business objectives are understood
  • Conduct compliance reviews at client's site in the region
  • Analysis works, preparing reports
  • Working with internal teams on any compliance related issues and queries
  • Working with local / regional units and management to review audit plan to address the priority of clients
  • Communicate findings from reviews internally and setup clearing meeting with clients as appropriate
  • Develop knowledge of Thomson Reuters business, products, operations, and systems
  • Develop working relationships with internal and external customers
  • Identify issues from the reviews, share best practise and make recommendations for control and efficiency improvements
  • Undertake Consultant assignments to address other areas of risk as required
  • Establish an area of expertise in usage rights defined within the Thomson Reuters Master Agreements, clearly being able to apply those rights to Individual, Enterprise and Redistribution usage within different scenarios
  • Advise the client on DACS best practice permissioning to minimise any potential exposure to either Thomson Reuters or 3rd Party licensing

Qualifications and Experience Required

  • University Degree or equivalent
  • Knowledge banks/financial institutions' operation
  • Knowledge of data permissioning and security controls
  • Knowledge and understanding of the financial information industry and associated technologies
  • Analytical and problem solving skills with the ability to think strategically
  • Project management skill
  • Ability to bridge technical and commercial issues
  • Ability to build rapport, network, and communicate effectively
  • Persuasive and negotiation skill
  • Well organized
  • A pro-active approach and the ability to deal with cross-functional change
  • Strong verbal and written communication in English
  • Good verbal communication in Mandarin
  • Should have a proven track record of client exposure / engagement

Desired Skills and Experience

  • Understanding of financial market's applications/systems consuming financial data
  • Understanding of compliance regulations in financial industry and/or around market data
  • Technical knowledge / background
  • Consultancy experience
  • Knowledge of Thomson Reuters Products / Operations is preferred
  • Experience of working for or with an Exchange in the past a distinct advantage
  • Markets Data experience

At Thomson Reuters, we believe what we do matters. We are passionate about our work, inspired by the impact it has on our business and our customers. As a team, we believe in winning as one - collaborating to reach shared goals, and developing through challenging and meaningful experiences. With more than 45,000 employees in more than 100 countries, we work flexibly across boundaries and realize innovations that help shape industries around the world. Making this happen is a dynamic, evolving process, and we count on each employee to be a catalyst in driving our performance - and their own.

As a global business, we rely on diversity of culture and thought to deliver on our goals. To ensure we can do that, we seek talented, qualified employees in all our operations around the world regardless of race, color, sex/gender, including pregnancy, gender identity and expression, national origin, religion, sexual orientation, disability, age, marital status, citizen status, veteran status, or any other protected classification under country or local law. Thomson Reuters is proud to be an Equal Employment Opportunity/Affirmative Action Employer providing a drug-free workplace.

Intrigued by a challenge as large and fascinating as the world itself? Come join us.

To learn more about what we offer, please visit

More information about Thomson Reuters can be found on

Hong Kong-Hong Kong
Req #: JREQ095517
Locations: Hong Kong-Hong Kong
Job Function: Professional & Consulting Services
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