Business Function
Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.
Principal Responsibilities
- Professional and comprehensive compliance advice to T&M for new product, specific project, new regulatory requirement implementation, etc.
- Proactively support T&M and related units initiatives with appropriate control.
- Engage in internal policy/procedure, regulatory report/survey review and coordination.
- Perform various of compliance testing, e.g., communication surveillance, paired trades review, cross border activity testing, etc.
- Provide compliance training to T&M.
- Good communication skill, keep good relationship with regulators.
Education and Relevant Experience
- Minimum 5 years compliance working experience in T&M.
- Bachelor’s degree of Finance/Economics/Accounting/Banking/Law/Risk Management.
- Solid knowledge in T&M products and regulations.
- Effective verbal and written communication in both English and Chinese.
Primary Location: China-PRC - Shanghai
Job: Compliance
Schedule: Regular
Employee Status:
Full-time
:
Job Posting: May 17, 2023, 5:17:52 AM
