Compliance Manager

Compliance Manager | MCI Group | EN

Responsibilities

  • Conduct periodic internal reviews or audits to ensure that compliance procedures are followed
  • Conduct or direct the internal investigation of compliance issues
  • Assess product, compliance, or operational risks and develop risk management strategies.
  • Identify compliance issues that require follow-up or investigation
  • Disseminate written policies and procedures related to compliance activities
  • File appropriate compliance reports with regulatory authorities and clients
  • Verify that software technology is in place to adequately provide oversight and monitoring in all required areas
  • Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities
  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes
  • Consult with corporate attorneys as necessary to address difficult legal compliance issues.
  • Discuss emerging compliance issues with management or employees
  • Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations
  • Advise internal management or business partners on the implementation or operation of compliance programs
  • Provide employee training on compliance related topics, policies, or procedures
  • Provide assistance to internal or external auditors in compliance reviews
  • Prepare management reports regarding compliance operations and progress
  • Monitor compliance systems to ensure their effectiveness
  • Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems
  • Design or implement improvements in communication, monitoring, or enforcement of compliance standards
  • Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated
  • Direct the development or implementation of compliance-related policies and procedures throughout an organization

Job Requirements

  • Proven experience as compliance manager
  • In-depth knowledge of the industry’s standards and regulations
  • Excellent knowledge of reporting procedures and record keeping
  • A business acumen partnered with a dedication to legality
  • Methodical and diligent with outstanding planning abilities
  • An analytical mind able to “see” the complexities of procedures and regulations
  • Excellent communication skills
  • BA in law, finance, business administration or related field
  • Bilingual skills in Chinese and English