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 firstname.lastname@example.org