BU Compliance, AVP

Recruiter
State Street.
Location
Hangzhou, China
Salary
Not disclosed
Posted
12 Sep 2022
Closes
12 Oct 2022
Ref
R-712070
Contract type
Permanent
Hours
Full time
Experience level
Manager

Key Responsibilities

  • Provide compliance support and practical advice to the Business, in terms of fund service business, e.g. fund accounting and transfer agency outsourcing service;
  • Analyze new products and services, and/or business structures and formulate and deliver compliance advice accordingly;
  • Liaise with various business partners as well as regulator and to handle inquiries from business partners accordingly;
  • Closely monitor the development of regulatory requirements. Conduct impact analysis and timely advise the Business and other support functions. Coordinate the implementation of workflows and controls in accordance with the regulatory requirements;
  • Review and analyze transactional data for potential suspicious activity, including those generated from an alert detection processes, negative media reports, as well as other sources as applicable.
  • Thoroughly and timely reviews reports and other investigative leads that potentially identify suspicious activity.
  • Manages the investigative process from initial detection to disposition and filing.
  • Formulates and recommends responses to potentially suspicious findings, cooperate with MLRO/AMLO to report such activity to the appropriate regulatory authorities.
  • Identify process or business control improvement opportunities, initiate relevant discussion with stakeholders and/or process owners and follow up;
  • Participate in various initiatives and provide compliance training to enhance employee’s compliance awareness.

Qualifications

  • 6+ years of compliance experience, ideally in fund service areas in China
  • Bachelor+ degree in business, finance, accounting, law or related major
  • Be flexible to multi task and effectively manage priorities across the wider function;
  • Sound Knowledge of CSRC/AMAC regulations and rules, as well as AML framework
  • Excellent written and oral communication skills in both English and Mandarin
  • Strong analytical ability and logical thinking;
  • Willingness and ability to work as a true team player

For further information, and to apply, please visit our website via the “Apply” button below.

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