Compliance Manager面议

JOB SCOPE

This Compliance Manager will report to Director of Compliance department (department head) and be responsible for compliance review, routine monitoring, compliance inspection etc. and assist the head of Compliance department in communication and coordination with BUs.

RESPONSIBILITIES

• Review the policies and procedures of the company, and timely promote the revision and effectively implement of the P&Ps according to regulations and the company’s internal control management requirements.

• Participate in compliance risk assessment of new business and new products according to the company's business development needs and regulatory requirements.

• In charge of routine compliance monitoring arranged by the department.

• Formulate and conduct compliance inspection plan, and promote relevant BUs to improve.

• Organize and carry out compliance training and provide compliance consultation.

• Carry out other tasks assigned by the department head.


Qualifications:


REQUIREMENTS

• University degree from recognized academic institution;

• At least 6 years of financial institutions compliance management experience, preferably from fund management or securities companies;

• Proven ability to work within a multicultural environment;

• Excellent learning ability and strong initiative, and ability to follow the business development requirements;

• Good communication and coordination skills;

• Ability to multi task in a fast-paced environment;

• Fluent Mandarin and English language skills.