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Corporate - Compliance Officer - Analyst - Shanghai

Job Description

  • Managing and interfacing with LOB/Branch Compliance, Legal and Risk teams to achieve Compliance and business objectives, including tracking of issues from regulatory examinations and regulatory reporting
  • Collaborate with regional compliance teams on global/regional compliance initiatives and reporting, and on local compliance updates/reviews.
  • Provide periodical compliance update to management including market entry, Approved Persons, corporate governance, IT and outsourcing related regulations, firewalls, confidentiality,  and other compliance issues as assigned.
  • Coordinate with relevant departments for smooth and successful onsite regulatory onsite inspections, visits, and prudential meetings, when assigned.
  • Assist in crime prevention work including tracking of self-assessment by LOBs, crime prevention statistics, and quarterly reporting.

Req #: 160047107
Location: Shanghai, 31 CN
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 Chinese Yuan Renminbi (CNY)

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