Compliance Manager - Mandarin Speaking Compliance Manager - Mandarin Speaking …

Hamlyn Williams
in New York, NY
Permanent, Full time
Be the first to apply
Hamlyn Williams
in New York, NY
Permanent, Full time
Be the first to apply
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

#LI-TB1 #LI-Remote
Hamlyn Williams logo
More Jobs Like This
See more jobs