Compliance Manager - Mandarin Speaking Compliance Manager - Mandarin Speaking …

Hamlyn Williams
in New York, NY
Permanent, Full time
Be the first to apply
Competitive
Hamlyn Williams
in New York, NY
Permanent, Full time
Be the first to apply
Competitive
Compliance Manager - Mandarin Speaking
We're working exclusively on an exciting opportunity for a fluent Mandarin speaking compliance manager to join a growing firm in New York.

This is a great position to work as a Deputy to the CCO and help to build out the compliance and operational risk program. Covering all areas associated within a broker-dealer organisation.

What you'll be doing:
  • Help to design and implement a risk-based approach to testing first-line and second-line controls and monitor effectiveness against policies and procedures
  • Provide key input into the Firm's risk management tools and evaluate risks to ensure alignment between the Firm's broader risk appetite while weighing business objectives
  • Maintain Firm's Risk Management Framework manual and New Product/Business Approval procedures
  • Perform annual compliance testing and risk & control self-assessments, track remediation progress while driving solutions
  • Support Firm's overall risk framework and monitor and analyze financial and non-financial risks within the Firm's business units and assist with developing policies, procedures and preparing reports on various risk categories to senior management
  • Coordinate and drive consistency across all operational risk management initiatives in collaboration with the Head Office Operational Risk team
What they're looking for:
  • Fluent mandarin speaker, strong verbal and non-verbal mandarin communication skills
  • 5+ years experience within Risk & Controls, Compliance and/or Operational Risk
  • Bachelors degree level educated
  • Series 7 is desirable
This role can be based in New York or remotely in the US dependent on the candidate. There is a strong preference for this person to be based in New York.

For more information get in touch at t.byrne@hamlynwilliams.com

#LI-TB1 #LI-Remote
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