Country Compliance Head
上海 | 永久职位
Published 02/03/2010
- Exciting team and business, leading Securities Firm
- Exciting team and business, leading Securities Firm
About Our Client
Recognized as an international financial services organization, our client is a leading provider of products and services to a diversified client base globally. As a result of further expansion to the compliance team in PRC, an outstanding opportunity has arisen for a Chief Compliance Officer to join this dynamic business.
Job Description
The Head of Inroad Compliance is responsible for assisting in managing Inroad’s regulatory risk and helping to promote and protect Inroad’s franchise through facilitating Inroad’s employees and management in understanding and complying with applicable laws, regulations, rules and internal policies and procedures. The Head of Inroad Compliance is responsible for assisting in managing Inroad’s regulatory risk and helping to promote and protect Inroad’s franchise through facilitating Inroad’s employees and management in understanding and complying with applicable laws, regulations, rules and internal policies and procedures.
- Specific responsibilities are to work closely with the Firm’s PRC Legal and Compliance team to provide compliance coverage for Inroad, including:
- Advisory. Provide advice on regulatory compliance issues.
- New business initiatives. Review new business initiatives from a regulatory, best practice and Firm standard perspective.
- Compliance policies and procedures. Develop and maintain Compliance Manuals, Compliance Notices and other compliance policies and procedures to ensure that they properly reflect applicable legal and regulatory requirements, best practices and Firm standards, and issue new policies and procedures in light of regulatory or business changes.
- Surveillance. Develop surveillance reports and systems with IT and perform regular and ad hoc surveillance of Inroad’s business activities.
- Periodic desk reviews / audits. Perform independent reviews and audits of Inroad’s activities periodically. Registration. Handling corporate and individual registration matters.
- Regulatory interaction. Help manage contacts and relationships with Inroad’s regulators, ensuring that communications with regulators are open and constructive.
- Training. Provide compliance training to both professionals and support staff of Inroad.
The Successful Applicant
- Holder of a bachelor degree
- Have passed the Securities Company Compliance Officer Competence Examination, national bar exam or lawyer qualification exam in China unless the candidate has 8 years’ working experience in legal work or holding a professional supervisory and regulatory post in a securities regulator for more than 8 years
- Have passed the PRC Securities Industry Qualification Exams
- Minimum 2 years’ experience as a securities company department head or 4 years’ experience as a department head of other financial institution or equivalent management experiences
- Have passed PRC Securities Company Senior Management Qualification Test.
- Strong financial services compliance / regulatory background
- Excellent verbal and written English and Chinese communication skills
- Ability to speak fluent Putonghua and read “simplified Chinese characters” is a must.
- Strong analytical skills, thoughtful.
- Detail-oriented.
- Fast learner.
- Proactive and able to act independently.
- Good team work skills.
What's On Offer
An opportunity to take on a senior role and to join a fast growing organization with exciting plans in China, including fantastic monetary and non monetary benefits and invaluable training and mentor ship to enhance your career development.
申请此工作
Apply online using the form below or phone Rio Goh on + 8621 3222 4758 quoting jobref. H508870
