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Role Summary: The role is responsible for conducting Due Diligence Checks and Compliance Training for third parties in one or more countries within ASEAN region. This role sits within the ASEAN dealer management organization, with a functional reporting line to the Global Transactional Compliance COE.
Multiple openings in Singapore, Vietnam and Thailand.
Essential Responsibilities: • Conduct due diligence checks on dealer, and complete authorization or any other legal process by following compliance policies, including the following tasks:
o Leading compliance interviews with prospective and current dealers to identify and recommend resolutions for potential red flags o Prepare and present periodic reports / dashboards for the business leadership status of renewals/ appointments/termination of dealers as well as transaction details where necessary o Escalate deviations/red flags to Compliance/Pole Leader o Collection of data/documents for pre-approval, payment and closure o Review of documentation against codes of conduct and policies/guidelines o Drive optimum cycle time of a request through its closure o Support preparation of contracts/letters
• Work with agencies and conducting watch-list screening to verify registered information, credit record, financial status and negative information of dealer candidates from government agencies and related business partners • Escalate any potential dealer compliance issues to Compliance/Pole Leader and working with Legal/Compliance to resolve the issues • Monitor the execution of following-up actions and provide regular updates to the business Channel Management organization and the Global Transaction Compliance COE • Coordinate and provide policy training for third parties and their staff; train process stakeholders about internal procedures, policies and regulation requirements and drive awareness through effective communications • Work with business team to evaluate performance and compliance of contract dealers • Determine and implement optimal business processes to ensure data integrity and completeness • Assist with all other compliance-related duties and special projects as identified by the individual or as assigned by management which could include investigations, transparency reporting or Independent Third Parties • Maintain good business relationships, working to partner cross-functionally to understand and address needs and roadblocks and facilitate change as appropriate. • Cultivate an engaged partnership with the other Transaction Compliance COE team members ( EMEA, Americas, Asia Pacific and China) to leverage scale and build consistent strategies for multi-modality and cross-P&L business projects
Qualifications/Requirements: 1. Minimum Diploma in Accounting/Finance/Legal/Business Administration 2. Good data-mining skills, both verbal (for purpose of conducting interviews, inquiries, etc) and online (internet/directory search, etc) 3. Solid critical thinker: able to locate and analyse facts to determine relevance 4. Well-organised, detail-oriented, proficient in using excel and IT tools 5. Positive attitude, adaptable/flexible to change eg. new information, different or unexpected circumstances, and/or to work in ambiguous situations 6. Able to act as a gatekeeper, effectively manage multiple tasks and priorities under pressure and tight deadlines 7. Strong verbal and written communication skills, strong interpersonal and collaborative skills including the ability to interact effectively across the organization and to facilitate conflict resolution. 8. High integrity and sense of accountability 9. Able to work with remote teams, and work effectively in an organizational matrix 10. Fluent in the English [and Thai / Vietnamese] language, oral and written
Preferred Qualifications: 1. Previous knowledge and understanding of dealer compliance policies and procedures 2. Working experience in an audit, compliance or paralegal capacity; strong motivation to work in the compliance area
Desired Characteristics: 1. Previous knowledge and understanding of dealer compliance policies and procedures 2. Working experience in an audit, compliance or paralegal capacity; strong motivation to work in the compliance area
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