The primary point of contact for all compliance queries and issues in China and to provide support to the Regional Compliance Manager issues relating to the wider Asia region generally.
- Monitor developments in financial regulation in the region, escalating any new impacts to senior management and co-ordinating internal implementation response.
- Assist the regional head of compliance with managing relevant regulator relationships in China.
- To be the main point of contact for all issues regarding the Chinese physical business.
- To be the main point of contact for all issues regarding Trafigura’s derivative trading related to China and activity of the following exchanges:
- The Shanghai Futures Exchange
- The Dalian Commodities exchange
- ZHENGZHOU Commodity exchange
- Shanghai Gold Exchange
- Advise the business on any compliance impact on new activity and initiatives.
- Advise the business on all sanctions related queries for the region. This will include:
- Analysing counterparties, individuals and structures to ensure all sanction risk identified and dealt with;
- Reviewing relevant payment requests;
- Advising the business on sanctions impact of proposed structures of transactions; and
- Provide training and updates to the business on developments.
- Monitoring and advising the business on all bribery or corruption issues in the region. This will include:
- Reviewing and advising on proposed intermediary / consultant arrangements;
- Assessing the risk, and available mitigation actions, in relation to joint venture’s Trafigura has with third parties in the region;
- Undertaking any necessary investigations of potential breaches of policy; and
- Providing training and updates to the business on developments.
- Providing the regional escalation point for complex / non-standard KYC / AML issues.
- Ensure all compliance policies (Anti-bribery and corruption; Competition; KYC / AML etc) reflect the up to date position for the region.
Knowledge, Skills and Abilities
4 to 8 years of compliance experience in APAC region