Compliance Officer, Shanghai Branch

  • Competitive
  • Shanghai, Shanghai Shi, China
  • 1-3 yrs
  • BBVA
  • 10 Dec 18

• Assist and support Head of Compliance in identifying, assessing, measuring and mitigating compliance risks. • Assist Head of Compliance in managing relationship and developing mutual understanding with the regulators and monitoring authorities with respect to compliance matters. • Work closely with business partners to broaden and deepen their knowledge and behavior on business and industry specific regulatory requirements.

  • Assist Head of Compliance to monitor compliance risk and take necessary actions in the branch. 
  • Assist Head of Compliance to conduct the compliance monitoring program and follow-up on the recommendations.
  • Disseminate regulations received from local regulatory authorities and to follow up the regulations implementation;
  • Prepare regulatory reporting owned by Compliance Department and submit on time;
  • Assist Head of Compliance to provide compliance trainings to staff and record the attendance.
  • Review KYC documentation on new account opening and perform transactions screening and monitoring in compliance with relevant anti-money laundering requirements.
  • Provide advice and support to the business units and other functions with regard to potential regulatory impacts of relevant laws, rules, regulations and guidelines.
  • Liaise with relevant regulators for any regulatory enquires and compliance related issues.
  • Assist in any other daily routine work and ad hoc projects.