Legal and Compliance (Senior Position) 法律合规高级 Legal and Compliance (Senior Position) 法律合规高级 …

平安证券股份有限公司
in Shenzhen, Guangdong Sheng, China
Permanent, Full time
Last application, 25 Dec 19
Negotiable
平安证券股份有限公司
in Shenzhen, Guangdong Sheng, China
Permanent, Full time
Last application, 25 Dec 19
Negotiable
Posted by:
Posted by:
Recruiter
We are seeking high caliber and self-motivated candidates to join our team for our expansion.

工作职责 :
Job Descriptions:
1. 负责组织公司制度流程的合规评审,参与公司新产品、新制度的开发策划,识别、评估合规风险,提出合规评审意见
Evaluate company's policies, participate the set up of company’s new products and policies, identify and assess compliance risks as well as providing comments from compliance prospective.

2. 根据公司内控管理目标经营目标确定合规内控工作发展目标,制定年度合规工作计划并推动落实
Determine the goals and direction of the company’s internal control procedure, formulate and execute annual KPIs of the Compliance Department.

3. 研究国家有关新法规及政策动向,向公司管理层提供法律合规建议
Study the trends and updates of China’s regulations, and provide legal and compliance advice to the Management.

4. 制定公司合规内控制度,并推动和监督该制度的有效执行
Formulate company’s compliance and internal control policy, implement and monitor the effectiveness of the policy

5. 组织法律文书审查、业务投诉举报、民事诉讼、知识产权管理
Review legal documents, handle business complaints, civil litigation and intellectual property management

6. 组织开展公司的合规风险识别、评估和监测工作,持续跟踪本专业公司的合规风险变化情况
Identify, evaluate and monitor company's compliance risk, and keep tracking the compliance risk of the company

任职资格 :
Requirements:

1. 五年以上法律/合规/证券等相关工作经验
With 5 years of legal/ compliance/ securities or related work experience

2.法律专业毕业或具有司法/律师资格或通过合规管理人员胜任能力考试。
Degree holder in Law or related qualification

 

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