Compliance Officer (Shenzhen)

Compliance Officer (Shenzhen)

Duties include:

2. Responsible for customer KYC review, investor suitability management, business document compliance review, and contract text compliance check.

3. Conduct internal compliance self-inspection and risk assessment, rectify business compliance risks, and output compliance self-inspection reports. 4.

5. Organize internal compliance training and risk communication, control sales compliance, anti-money laundering, and conflict of interest.

Job Requirements

1. Education: Bachelor's degree or above, majoring in Law, Finance, Risk Control, and Compliance.

2. Experience: More than 2 years of asset management, private equity, and financial industry compliance and risk control experience, familiar with the domestic private equity and fund supervision rules.

Force.

4. Qualities: Strong principles, strong sense of responsibility, high risk sensitivity, good writing skills and communication abilities.