位于上海市, c23的 13 个优质fund administration, officer职位（正在招聘！）

Compliance Officer-Trading, China Securities
BNP Paribas —上海市
- 全职
9 小时
Officer, Commercial Analyst, Core Segment, Commercial Bank
Citi —上海市
- 全职
7 小时
Finance CRO - Risk, SVP
Citi —上海市
- 全职
Head of Finance (China)
Novotech —上海市
- 全职
Senior Software Engineer - AI Agent
Crimson Education —上海市
AI Product Manager
Crimson Education —上海市
Director, Food & Beverage Business Development, GC (one year contract)
Marriott International, Inc —上海市
- 全职
Engineering Manager
Booking.com —上海市
数据安全专家 _XC
Bosch Group —上海市
快速申请
NC EXPA Surveyor
Bureau Veritas —上海市
- 全职
KA Commercial officer
ABB Electrical Machines Ltd. —上海市
快速申请
Technical Officer
JLL —上海市
2 小时
Analytics Product Owner
l'Oréal —上海市
- 全职
快速申请
3 小时

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Compliance Officer-Trading, China Securities

BNP Paribas -
上海市

立即申请

职位详情

终身制 | 全职
9 小时前

完整职位描述

Position Purpose

Compliance Officer-Trading is responsible for the compliance management of the Company's Principal Trading Department under the guidance and supervision of the Compliance Department.

Responsibilities

Direct Responsibilities

Compliance Management Aspects

Assist the Head of Trading Department to fulfill his compliance responsibilities; and provide reasonable assurance on the compliance of the Trading operations/activities with applicable laws and regulations;
As a person of contact, be responsible for contacting the Compliance Department on the compliance work of the Trading Department and cooperating to implement the relevant tasks arranged and deployed by the Compliance Department;
Carry out laws & regulations watch to ensure the Trading Department kept abreast of the latest changes of relevant laws, regulations and regulatory requirement;
Within Trading, ensure consistency of group policies and methodologies by cascading them down to the relevant stakeholders subject to local regulatory framework;
Establish appropriate governance to manage risk of non-compliance: Coordinating with Regional GM Compliance Officers, and Leveraging Domains (including but not limited to Market Integrity, Protection of Interests of Client) Compliance Officers expertise;
Support the effective implementation of associated Trading control set-ups; and follow effective implementation of compliance-related IT tools in his/her scope of responsibilities;
Provide advisory to the Head and other staff of the Trading Department on compliance matters of Trading business, and provide preliminary opinions on matters in terms of compliance advisory and compliance review to be submitted by the Trading Department to the Compliance Department;
Submit compliance reports to the Compliance Department regularly or irregularly according to the requirements of the company's relevant procedures;
Propose compliance self-inspection suggestions to the Head of Trading Department; report any compliance and/or reputational risks or violations of laws and regulations in the Trading Department to the Head of Trading Department and the Compliance Department, and put forward relevant compliance remediation proposals;
Supervise and inspect the compliance of employees' practice conduct/behavior in the Trading Department;
Assist the Head of Trading Department to carry out compliance publicity and training of the Trading Department and build the compliance culture;
Cooperate to complete the inspection, investigation or other regulatory requirements on the Trading business imposed by regulators;
Complete other compliance tasks assigned by the Compliance Department or the Head of Trading Department.

Permanent Control Aspects

Direct contribution to BNPP operational permanent control framework.
Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan
Comply with regulatory requirements and internal guidelines
Contribute to the reporting of all incidents according to the Incident Management System
Ensure audit recommendations are resolved within the specific timeline.

Technical & Behavioral Competencies

Technical:

Possess professional knowledge and skills suitable for performing the above-mentioned compliance management responsibilities.
Proficiency in MS Excel, Word, PowerPoint and Power BI, as well as using tools for presentation to stakeholders or senior management
Strong communication skills in written and spoken Chinese and English
Familiarity with the regulatory landscape in China
Stakeholder management and influencing skills
Ability to identify key risk and contribute to the control framework for a wide variety of situations with the ability to act autonomously
Ability to form and articulate an informed position through structured thinking, problem solving and prioritisation
Tact and ability to interact with staff and management at all levels in order to achieve mutually acceptable resolution of incidents

Behavioural:

Resourceful and proactive to reach out to relevant stakeholders or peers to develop action plans to resolve issues within a cross-functional matrix environment
Self-motivated, decisive with the ability to adapt to change and competing demands with pressing deadlines for multiple tasks
High ethical standard

Specific Qualifications (if required)

Securities practitioner qualification is a must
Bachelor’s Degree in appropriate field of study or equivalent work experience
More than 3 years working experience in securities, finance, law, accounting, information technology and other related fields.

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在上海市, c23的fund administration, officer个职位

Compliance Officer-Trading, China Securities

Officer, Commercial Analyst, Core Segment, Commercial Bank

Finance CRO - Risk, SVP

Head of Finance (China)

Senior Software Engineer - AI Agent

AI Product Manager

Director, Food & Beverage Business Development, GC (one year contract)

Engineering Manager

数据安全专家 _XC

NC EXPA Surveyor

KA Commercial officer

Technical Officer

Analytics Product Owner

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