- Responsibilities:
- Policy and Procedures Development: Enhance and revise the company's compliance policies and procedures to ensure adherence to financial regulatory laws at national and regional levels.
- Regulatory Agency Engagement: Maintain a close relationship with regulatory bodies to keep abreast of and address changes in regulatory requirements for company compliance.
- Internal Audits and Monitoring: Conduct audits and monitor business operations to guarantee compliance with regulations and promptly identify and rectify potential compliance risks.
- Internal Training and Communication: Conduct internal training sessions to boost employees' understanding and compliance with regulations. Develop informative materials to share compliance policies and procedures with staff.
- Risk Incident Management: Address compliance risk incidents through investigations, report preparation, and corrective action planning for timely resolution and prevention of future occurrences.
- Collaboration with Senior Management: Work closely with senior management and various departments to ensure compliance and risk management in asset management operations.
- External Compliance Reporting: Responsible for submitting compliance reports to regulatory agencies and internal management, ensuring timely updates on compliance status to relevant stakeholders.
- Bachelor's degree in finance, law, or a related field; Master's degree preferred.
- Minimum of 10 years of experience in asset management.
- Understanding of financial regulatory laws and compliance requirements, with extensive expertise in compliance management.
- Exceptional communication and coordination skills to engage effectively with regulatory bodies, internal staff, and senior management.
- Proficient in problem-solving and risk management, capable of identifying, evaluating, and resolving compliance risks.
- Strong analytical and decision-making skills to comprehend complex compliance issues and offer viable solutions.
- Team management and leadership abilities to mentor and develop compliance team members.
- Familiarity with asset management business processes and operational standards to conduct audits and monitor internal operations.
- Excellent written and oral communication skills in both Chinese and English.
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Compliance Manager/Senior Manager - Hong Kong, 香港 - X-Giants International Hong Kong Limited
描述
Compliance Manager/Senior Manager
Requirements:
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