Compliance, VP, Leading Securities House, Beijing recruitment
This role will be based in Beijing office and will provide coverage will be for China region including:
- Regulatory Matters: Interact on regular basis with regulators. Assist analysts and Legal in responding to regulatory inquiries.
- Policies and Procedures: Ensure that the division has appropriate policies and procedures in place. Assess, design and drive completion of necessary upgrades, updates and new policies. Work closely with Legal and the business to fulfill requirements.
- Training: Design, execute and deliver live and online training on divisional policies and procedures.
- Controls/Surveillance/Testing: Create controls, roll out surveillance and monitor testing of policies and procedures.
- Advisory: Act as a resource on a daily basis for compliance, regulatory, policy and reputational issues.
Experiences/Qualifications:
- More than 5 years in financial industry
- Language skills: fluent in Mandarin Chinese and English
- Strong oral and written communication skills; ability to communicate confidently and effectively with a diverse audience
- Quick learner who can adapt well to a fluid regulatory and business environment
- Ability to handle multiple tasks simultaneously, work effective independently and in a team
- Organized, detail-oriented, enthusiastic and professional