What Does a Compliance Specialist Do?
A compliance officer refers to a bank staff who needs to understand various business operation mechanisms of banks and other financial companies, can track laws, regulations, and regulatory requirements, and needs a strong learning ability, written and oral skills, and a professional spirit that dares to question.
Compliance Specialist
Right!
- A compliance officer refers to a bank staff who needs to understand various business operation mechanisms of banks and other financial companies, can track laws, regulations, and regulatory requirements, and needs a strong learning ability, written and oral skills, and a professional spirit that dares to question.
- 1. Familiar with the supervision regulations of banks, CBRC and SAFE.
2. Understand various business operation mechanisms and internal control system processes of financial companies such as banks.
3. Have strong learning ability, risk identification and judgment ability, communication and coordination ability, written and oral expression ability, able to withstand pressure.
4. Professionalism of integrity, integrity and dare to question.
- 1. Continuously track changes in laws and regulations, regulatory requirements and industry self-discipline rules, and conduct propaganda within the company.
2. Responsible for communication and coordination with relevant departments, and formulate implementation plans, management methods, and detailed rules for implementing laws and regulations.
3. Responsible for maintaining daily work contact with institutions such as the People's Bank of China, timely recording the requirements of various regulatory documents and forming reports.
4. Prepare compliance cases and promotional materials, and organize compliance training and promotion projects.
5. Conduct compliance assessment on the company's new products, new business and new processes, submit compliance review reports, and avoid risks beforehand.
6. Provide compliance advice, opinions and suggestions for the management activities of the management and business departments, and support the steady development of the business.