Head of Compliance

  • Competitive
  • Shanghai, Shanghai Shi, China
  • Not specified
  • Morgan McKinley Shanghai
  • 19 Feb 19

Head of Compliance

My client is committed to providing quality products and excellent service. Its business covers in global. It is looking to seek a China Compliance Head role who focuses on assisting the branch in managing the Compliance including not limited to Markets Compliance, AML, Anti-Fraud and Sanctions.

Responsibilities:

  • This role's key responsibility is to facilitate compliance of the entity with applicable banking and securities laws, regulations, and internal guidelines regarding Markets Compliance, AML, Anti-Fraud and Sanctions.
  • You will also keep with competent authorities on Compliance issues. Among other things respond to any of the authorities' requests for information in due course and inform these authorities on breaches as required.
  • Besides, one of the key responsibilities is to analyze on a regular basis the business activities in the location in order to assess the existing Compliance risks.
  • Finally, you will also provide advice to and liaise with local Senior Management on Compliance.

Requirements:
  • Ideally, you will have at least 8-10 years experience in Banking/Finance sector and 5 years experience in Compliance related area.
  • You will have sound knowledge and understanding of the local regulatory framework. You will be also familiar with the product and client type portfolio of the branch as well.
  • Strong language capabilities in English in both writing and speaking.