Senior Regulatory Consultant 高级监管合规顾问
Toronto, Ontario, CA
4d ago

Objective of job Ensure that all regulations applicable to MBFS China are followed and be the primary contact with the regulatory authorities to establish and maintain a good working relationship with those government agencies.

Responsible for the quality control and timely submission of regulatory reporting. Job designation / Field of work Regulatory Compliance Risk Management

  • Build and oversee regulatory compliance risk of MBFS
  • Identify potential gaps based on regulators’ requirements, changes required by law, regulation, audit finding, etc. and drive risk assessment accordingly.
  • Propose mitigation plans for the issues identified and follow-up the remediation together with business units

  • Lead / coordinate regulators’ inspections, administrative approvals, and lead / coordinate other regulatory projects or tasks
  • Advise employees and management on rights and duties
  • Engage in and assist EA with any relevant lobbying efforts on proposed laws / regulations
  • Attend industry association meetings and other relevant events Relationships Management with Regulators
  • Point of contact and relationship responsible for all regulatory and other supervisory / investigating authorities and officers (e.g. CBIRC, PBOC, AIC, etc.)
  • Interact with government agencies on inquiries, audits, cooperation projects and timely / clearly communicate regulatory requirements with management team and all staff
  • Interact with government agencies on new business where approval or input is required
  • Seek advice / clarification from government agencies on applicable or unclear regulations, notices, guidelines or requested reports to MBFS
  • Arrange meetings as needed with government agencies to maintain MBFS in good standing Regulatory Reporting Management
  • Establish and maintain a mechanism to ensure all regulatory reporting is planned, executed and delivered timely and with requisite quality
  • Engage necessary stakeholders for content inclusion, and reporting creation and follow up
  • Continuously improve the efficiency and optimize regulatory reporting Policies & Guidelines
  • Create or modify any policies that are required due to new laws / regulations or changes in laws / regulations
  • Provide advice on corporate policies, governance (BoD, AoA, etc.), guidelines and standard operating procedures
  • Support in interpretation and implementation Communication & Training
  • Proactively assist in the creation of a culture of integrity and regulatory compliance by finding effective ways to communicate to all employees on the regulatory obligations in their area stressing the importance of compliance within the company
  • Advise management of risks or audit findings and remedial actions that need to be take
  • Train & educate MBFS employees and management on regulatory requirements, issues and audit findings Ad-hoc tasks
  • Support supervisor with other ad-hoc tasks
  • Contact

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