Smr Regional Compliance Officer

SMR compliance officer - P3

Local Business Title

Regional Compliance Officer - Sales Areas Australia/NZ & South-East Asia

Date Issued
- September_ 202_3_

Issued by

Date Revised

Revised by
- Manager_

GENERAL INFORMATION

Job Holder’s Name*

Employee ID*

Organizational Belonging

Legal & Compliance

Superior Position
- SMR _Global Compliance Director_

Directly Reporting Position
- Regional Manager, Legal & Compliance - SMR Sales Areas _Australia/NZ & South-East Asia_

Key Stakeholders
- Sales Area Management teams;_ P_rocess Owners;_ Group _Compliance; SMR Compliance (Global_ and Division); Group Business Integrity_._

JOB PURPOSE

At Sandvik, we are committed to conducting our business with honesty, integrity and high ethical standards to meet legal requirements as well as stakeholder expectations.

Our Code of Conduct is designed to guide all employees in their daily activities to ensure that Sandvik is a good corporate citizen and a respectful business partner.

In this job, you will continue the transformation and consolidation of SMR’s Compliance Programs & Culture to lead people, processes and systems [within the Sales Areas of responsibility] up the maturity ladder with the aim to protect and strengthen SMR’s value for its employees, customers, suppliers and communities.

Drive Compliance as a trusted value-add business partner within the Sales Area, while making Compliance part of the everyday business practices through teamwork and a collaborative approach.

Inspire pride and change in the wider context of Sandvik’s 2030 sustainability development.

**MAIN RESPONSIBILITIES**:
**WHAT**: Provide regional support in developing and driving the execution of the SMR Compliance program for all countries/Territories within Sales Areas Australia/NZ & South-East Asia:
**SMR Compliance Program - Key A**reas**:

- Anti Bribery & Anti Corruption (ABC)
- Trade Compliance (TC)
- Competition Law (CL)
- Data Privacy (DP)
- Speak Up

**Program elements**:

- Policies, Procedures, Processes, Systems and Controls
- People & Culture
- Training
- Communication
- On-going monitoring (internal controls and analytics)
- Internal & External audits
- Continuous Improvement
- M&A and divestments, including Compliance integrations for acquired businesses.

**Mission**:
Empower compliant achievement of SMR business objectives [in the Sales Areas of responsibility] through the mitigation of risk and uncertainty while acting with integrity.

**Mandate**:
Enable the Sales Areas to mitigate risks by implementing adequate procedures to maintain compliance with global and local laws and regulations, focused on integrated programs in anti bribery & anti corruption (ABC), trade compliance (TC), competition law (CL), data privacy (DP) compliance and oversight of the Speak Up policy.

**HOW**:

- Work closely with other support functions (HR; Finance; IT; Procurement; Marketing, Communications, Community Engagement & Sustainability; EHS; Logistics)
- Play an active role in maintaining a well connected and functioning Compliance community (Broader Compliance Network)
- Engage the line organization and other functions (rather than executing for them) while being present to support
- Bring clarity, simplicity and business-driven solutions to your stakeholders
- Engage the business in doing the right thing, while challenging them to ensure quality and relevance
- Use data and analytics to provide insights to process owners and senior management on risks & opportunities
- Leverage new technology to enhance ways of working
- Act with the highest level of integrity while keeping a strong risk-based approach as your inner compass
- Keep continuous improvement at the heart of what you do. Know your business at the process, system and people level and go down to real root causes when dealing with issues.

**Yearly Delivery Plan**:

- Setting up a yearly Compliance delivery plan (e.g based on SMR Compliance directions, the Compliance Houses, additional local insights such as change in regulation, risk indicators such as Internal Audit findings, Internal Control findings).
- Engaging relevant stakeholders to anchor the plan and ensure adequate resource allocation.
- Following-up on plan delivery as per agreed timelines, including reporting to your Manager and senior management on key defined KPIs.
- Working cross functionally in supporting the development of corrective actions, incentives and disciplinary measures.
- Ad hoc: Executing transactional activities as per the yearly delivery plan (e.g sourcing information for Speak-up investigations, Third Party (Commercial and Administrative Intermediaries - CI’s and AI’s) screening back-up resource, etc.)

**On Going Support**:

- Advising management on compliance related risks & opportunities (e.g translating new/change in regulations or Sandvik procedures/policies into risk & opportunity assessment relevant for the country/region in charge, including suggested solutions to mitigate