EBC Group, a leading financial services firm, is seeking a detail-oriented and experienced Compliance Officer to join our dedicated team. The Compliance Officer will be responsible for ensuring that the company operates in compliance with all applicable laws, regulations, and internal policies. This is a critical role in maintaining the integrity and reputation of the company.
Responsibilities
- Develop and oversee compliance programs and initiatives, including policies and procedures, to ensure adherence to regulatory requirements.
- Conduct regular compliance audits and risk assessments to identify areas of non-compliance and implement corrective actions.
- Provide guidance and training to employees on compliance matters, ensuring awareness of regulatory requirements.
- Monitor and review company operations to identify and address any potential compliance issues.
- Stay up-to-date with developments in laws, regulations, and industry best practices, and make recommendations for changes to policies and procedures as needed.
- Collaborate with internal stakeholders, such as legal and risk management, to address compliance-related matters.
- Prepare and submit regulatory reports and filings as required.
- Handle any inquiries or investigations from regulatory authorities.
- Bachelor's degree in finance, business, or a related field.
- Minimum of 5 years of experience in compliance, preferably in the financial services industry.
- Strong knowledge of relevant laws, regulations, and industry standards.
- Excellent analytical and problem-solving skills.
- Detail-oriented with strong organizational skills.
- Ability to communicate effectively with stakeholders at all levels of the organization.
- Proficiency in Mandarin is preferred.
- Experience with regulatory reporting and dealing with regulatory authorities.
- Ability to work independently and manage multiple tasks and deadlines.
