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- A growing private finance service company providing with a comfortable working e
- great team culture and sense of achievement
About Our Client
Our client is a growing private foreign finance service company with many branches in the world
1.Develops and implements the company's compliance management program in a manner that fulfils the mission and strategic goals of the company.
2. Educates and trains management and staff as to the compliance management program, and their respective responsibilities in carrying out the risk management program.
3. Build strong relationship between the Compliance Department and all business partners, business units and branches.
4. Investigates and analyses root causes, patterns, or trends that could result in compensatory events.
5. Helps to identify and implement corrective action where appropriate.
6. Assist the Compliance Department Senior Managements to coordinate the investigation, processing, and defines of Privacy and Consumer complaints against the company.
7. Manage and implements the company's Regulatory Compliance Management System in accordance with OSFI Guideline E13.
8. Ensure accurate and timely reporting to Senior Managements and various regulatory bodies such as OSFI, FINTRAC, FCAC and CDIC.
9. Provide compliance expertise in the identification of compliance risks, assessment of controls and reporting on effectiveness of controls to ensure compliance with the company's regulatory and policy requirements.
10. Identifies and monitors emerging or changing regulatory requirements along with any business changes to ensure the RCM process is current.
11. Evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls.
12. Identifies potential areas of compliance vulnerability and risk, develops and implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
13. Design and develop testing strategies and methodologies in accordance with the company's RCM Policies and Procedures.
14. Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
15. Works on special projects as required providing guidance and advice on risk and compliance related issues arising from new and proposed business activities.
The Successful Applicant
1. Bachelor's degree in finance or a related field, combined with over 5 years' experience in Risk Management and Compliance within the Chinese financial services sector.
2. Demonstrated leadership and management skills.
3. Experience interpreting law and regulation as it applies to the financial services sector specifically related to AML/ATF Laws and Regulations, Privacy, FCAC & CDIC.
4. Sound understanding of regulatory trends and issues related to AML/ATF, Privacy and Consumer Provisions.
5. Excellent research, communication and organizational skills
6. Ability and comfort in dealing with all levels of staff within the Bank, as well as with regulators.
7. Strong time management skills and ability to meet deadlines for multiple projects at the same time.
8. Well-developed oversight and the organizational awareness skills.
9. Good working knowledge of IT applications (e.g. Word, Excel, Access etc).
What's on Offer
A growing private finance service company providing with a comfortable working environment and also great team culture