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Responsible for developing, establishing and maintaining the company's internal control system as well as coordinating with various departments in the implementation of compliance and risk management systems and processes.
Implement compliance risk monitoring as well as identify, evaluate and report on compliance risks; ensure compliance status of various departments; summarize, review and follow up on compliance issues being identified and provide reports accordingly.
Monitor, on an ongoing basis, the promulgation or announcement of regulations or notices by regulatory bodies; research and analyze national policies as well as those issued by different regulatory bodies, and develop and or update company internal policies and procedures accordingly.
Responsible for managing the relationship, and serve as the day to day contact, with the National Association of Financial Market Institutional Investors, People's Bank of China, China Securities Regulatory Commission and other financial services regulatory bodies; coordinating with various departments in dealing with matters arising from regulatory inspections.
Conduct self-assessment, facilitate the completion of regulatory inspections, provide support on internal and external examinations, and oversee the timely completion of remediation efforts by various departments.
Participate in product and business development to identify and evaluate compliance risks as well as provide the relevant compliance support.
Responsible for promoting compliance awareness within the company and organize compliance training.
Bachelor degree or above in finance, law or related discipline.
Candidates with legal background are preferred.
At least 8 years of experience in compliance work in the financial services and banking industries; experience in compliance management or working in governmental or regulatory bodies in China is preferred.
Familiar with the legal and regulatory requirements in the financial services and banking industries.
Strong risk awareness, possession of rigorous and ethical work principles; ability to readily identity risks, exercise good judgement and deal with different types of risk incidents.
Open-minded and have a positive attitude; a good team player and be adaptive; able to work well under pressure; good communication and coordination skills.