Objective of Job
- Support to identify and manage regulatory compliance risks. Provide consultancy to business functions for compliance risk prevention and remediation. Ensure the compliance with regulatory requirements from China local regulators.
- Reponsible for regulatory reporting, act as the contact window with regulators, and take lead of regulator required tasks.
Task Description
1 Regulatory Compliance Risk Management
− Timely communicate regulatory requirements with management team and all staff.
− Indentify potential gaps based on regulator’s requirements, and drive risk assessment accordingly, propose the mitigation plans for the issues idendified and followup the remediation.
2 Regulatory Reporting Management
− Draft, consolidate, and finalize regulatory reports with high quality and tight timeline.
− Maintain regulatory compliance calendar, ensure deadlines of regulatory reports as required by authorities for both regular and adhocs.
− Continuouly improve the efficiency to optimize regulatory reporting.
3 Liason with Regulators
− Act as the contact window with regulators(CBIRC, PBOC, etc.) and maintain a positive relationship.
− Lead regulators required self-inspection, on-site inspection and other relevant projects.
− Lead the administration approval from regulators regarding any important corporate change.
− Coordinate and facilitate other regulatory tasks.
4 Regulatory Compliance Consultancy
− Interpretate regulators’ requirements, provide consultantcy when questions or issues are arisen regarding regulatory compliance.
5 Others
− Support Compliance Officer to create company-wide compliance culture, including delivering training, promoting best practise exchange, and etc.
− Prepare executive reporting/presentation for management review.
− Centrally manage policies and guidelines on E-Portal, serve as a consultant on policy creations and changes, coordinate updates with Daimler Greater China.
− Support ad-hoc tasks.