Compliance Director

  • Competitive
  • Beijing, Beijing Shi, China
  • Permanent, Full time
  • Morgan McKinley Shanghai
  • 20 Oct 18

Compliance Director

Responsibilities:

  • Establish appropriate compliance policy framework, formulate and maintain compliance policies and procedures to meet local regulatory requirements.
  • Establish and maintain strong and productive relationships with internal stakeholders and regulatory bodies (including, but not limited to, PBoC, NAFMII and CSRC).
  • Work closely with management team to determine the strategy and approach to managing regulatory requirements and requests.
  • Proactively support license applications and registration, including liaising with regulatory authorities and internally coordinating and handling related regulatory requests.
  • Manage ongoing regulatory requests, inquiries and regulatory exams. This includes liaising with regulatory authorities and internal stakeholders, coordinating internal preparation of responses and ensuring such responses are adequate and appropriate.
  • Establish an efficient and effective process for regulatory filing and disclosure in a timely manner. Oversee and support such process on an ongoing basis to ensure compliance with regulatory requirements.
  • Monitor regulatory development in China and provide timely update to senior management and internal stakeholders.
  • Perform periodic and ad hoc compliance monitoring including controls testing.
  • Handle internal queries on compliance related matters and provide advice/guidance to internal stakeholders on the interpretation and implementation of regulatory and internal policy requirements.
  • Conduct internal compliance training for new joiners as well as periodic training for existing staff. Work with senior management to promote a strong compliance culture.

Requirements:
  • Undergraduate degree or above
  • Legal qualification and prior experience in a multinational organization preferred
  • Experience in directly interacting with regulators is a must
  • At least 8-10 years of relevant experience in legal, compliance or regulatory capacity within or supporting financial institutions.
  • Excellent interpersonal and communication skills. Good command of written and spoken Chinese. Fluency in English an advantage.