POSITION (GJM Band title): Compliance officer (Band 2 - Senior Associate)

Hierachical Reporting Line: Head of Compliance & AML Shanghai

SUPERVISING: N/A

FUNCTION: Compliance & AML Shanghai

Main Purpose of the Job:

Responsible for the general Compliance management including local regulatory Compliance and group regulatory requriements. Ensures the correct interpretation of law and regulations, issuing the Compliance policies and guidelines. Ensures conflict of interest management. Performs preventive analysis and evaluation from the Compliance standpoint of products and processes, identifying, evaluating and monitoring Compliance risks to prevent economic, reputational and business losses.

KEY RESPONSIBILITIES AND DUTIES :

• be responsible for preparing and sending relevant regulatory reports (internal and external) timely and accurately;




• respond to non-standard requests of business and authorities, based on information available and gathered from investigation of the facts;




• plan and manage the annual Risk Identification & Risk Assessment activities;

• ensure the branch comply with relevant regulations/policies;




• liaise with local regulators, follow up and evaluate whether the supervisory views and requirements have been fulfilled;




• collect, monitor and analyze change in laws and regulations so as to formulate and maintain appropriate levels of effective risk control;

• perform Compliance second level controls as assigned including the monitoring of remediation actions for identified Compliance findings;




• assist to oversee the management and remediation of Audit and Regulatory findings related to Compliance topics, to ensure timely closure by agreed deadlines;




• implement all new or outstanding Compliance Policies, in line with existing procedures;




• assist to prepare the annual Compliance Plan, including training requirements on key Compliance matters, in alignment with the overall Group Compliance Plan and monitoring it;
  

• any other tasks assigned by head of Compliance & AML Shanghai.

Required Qualifications:

• Around 8-10 years experience as Compliance Professional in the PRC

• Working knowledge in local banking laws, SAFE, CBIRC & PBOC regulations and general compliance topics

• Sound product knowledge - GTB especially Trade Finance, E-Banking , derivatives (FX and IRS), structured products and repos

上班地址：上海市浦东新区世纪大道88号金茂大厦2401室