Work with compliance team within the firms to achieve compliance goals Conduct internal compliance review and audits for head office and branches Conduct Tier II trade reviews and approvals to check KYC, suitability, concentration etc., and keep inquiries log Conduct KYP (Know Your Product) analysis and report, and provide training for APs Lead work in regulator audits and respond to regulator inquiries, and work on action plans Follow up with the regulator audit results, and lead the compliance work to execute plans to rectify the identified issues from the audit and to improve on the recommendations Monitor, review and approve all marketing communications and social media posts to ensure accuracy, consistency, and compliance, and to keep review and approval log Conduct trend analysis to identify and analyze irregular trade activities Review and approve AP’s outside business activities, keep approval records, and monitor their outside business activities Review and update firm’s PPM (Policies and Procedures Manual) according to regulator’s changing requirements Keep up with regulator policies and communicate with member approved persons Handle client complaints and investigations, update METS system, and keep compliance log Create and deliver training to team members on regulations and industry practices Effectively contribute to all other business lines to produce a material positive impact for the company’s clients
系统翻译:
与公司内部合规团队合作,实现合规目标 对总行和分行进行内部合规审查和审计 进行二级交易审查和批准,检查 KYC、适用性、集中度等,并保留查询日志 进行 KYP(了解您的产品)分析和报告,并为受影响人提供培训 领导监管机构审计工作,回应监管机构询问,制定行动计划 跟进监管机构审计结果,领导合规工作执行计划,以纠正审计和审计中发现的问题改进建议 监控、审查和批准所有营销传播和社交媒体帖子,以确保准确性、一致性和合规性,并保留审查和批准日志 进行趋势分析,以识别和分析不正常的贸易活动 审查和批准 AP 的外部业务活动保留批准记录,并监控其外部业务活动 根据监管机构不断变化的要求审查和更新公司的 PPM(政策和程序手册) 跟上监管机构政策并与会员批准人员沟通 处理客户投诉和调查,更新 METS 系统,并保持合规日志 为团队成员创建并提供有关法规和行业实践的培训 有效地为所有其他业务线做出贡献,为公司的客户产生重大的积极影响