Compliance Manager/Senior Manager
Responsibilities:
Compliance Policy and Procedures: Develop and update the company's compliance policies and procedures to ensure business activities comply with national and regional financial regulatory laws.
Regulatory Agency Communication: Maintain close contact with regulatory agencies to stay informed about and respond to changes in regulatory requirements, ensuring the company's compliance.
Internal Auditing and Monitoring: Conduct internal audits and monitoring of business processes and operations to ensure compliance with regulatory requirements and timely identification and correction of potential compliance risks.
Internal Training and Communication: Organize and provide internal training to enhance employees' awareness and adherence to compliance requirements. Create promotional materials to communicate compliance policies and procedures to employees.
Compliance Risk Incident Management: Handle compliance risk incidents by conducting investigations, preparing reports, and developing corrective measures to ensure timely resolution and prevent recurrence.
Collaboration with Senior Management: Collaborate closely with senior management and other departments to ensure compliance and risk control in asset management operations.
External Compliance Reporting: Responsible for submitting compliance reports to regulatory agencies and internal management, providing timely updates on compliance status to relevant parties.
Requirements:
Bachelor's degree in finance, law, or a related field. Master's degree preferred.
At least 10 years of work experience in the asset management field.
Familiarity with financial regulatory laws and compliance requirements, with extensive knowledge and experience in compliance management.
Excellent communication and coordination skills, with the ability to effectively communicate and collaborate with regulatory agencies, internal employees, and senior management.
Strong problem-solving and risk management skills, with the ability to identify, assess, and address compliance risks.
Strong analytical and decision-making abilities, with the capability to understand complex compliance issues and provide effective solutions.
Team management and leadership skills, with the ability to guide and develop compliance team members.
Familiarity with asset management business processes and operational standards, with the ability to conduct audits and monitoring of internal business processes.
Excellent written and verbal communication skills in both Chinese and English.