What does the risk control and compliance specialist of an equity investment fund management company do?

Assist the Compliance Director in formulating the company's compliance policies, principles and procedures;

Identify and assess compliance risks related to the company's operating activities, including preparing for new products and new businesses Provide necessary compliance review for development, identify and evaluate compliance risks arising from the expansion of new business, establishment of new customer relationships, and major changes in the nature of customer relationships; supervise the company to take necessary control measures for compliance risks , and continue to track changes in the company's compliance risks;

Organize compliance reviews of the company's policies, rules and regulations, operating procedures, major decisions, new businesses and new product plans, and issue compliance review reports opinions, and urge all business departments to sort out and revise various policies, rules and regulations, and operating procedures to ensure that various policies, procedures, and operating procedures comply with the requirements of laws, regulations, and regulatory department policies;

Organizational compliance Conduct regulatory inspections and issue compliance inspection reports; issue rectification opinions for violations or hidden dangers, track the implementation of rectifications, and issue acceptance reports on the rectifications.

Organize compliance training, including compliance training for new employees and ongoing compliance training for current employees; carry out compliance culture education for company employees, build compliance culture, and promote proactive compliance, The compliance concept that compliance creates value improves employees' compliance awareness;

Continue to pay attention to the latest developments in laws, regulations and regulatory policies, correctly understand the provisions and spirit of laws, regulations and regulatory policies, and accurately Grasp the impact of laws, regulations and regulatory policies on the company's operations, and provide legal advice to management, business departments, and management departments;

Responsible for handling violations reported by various departments and branches of the company;

Organize the implementation of anti-money laundering systems;

Implement adequate and representative compliance risk assessments and tests, including testing the compliance of various policies and procedures through on-site audits, and questioning policies and procedures, and conduct corresponding investigations; inspect the operations and business processes of various departments;

Responsible for monitoring and inspecting the compliance of relevant businesses through the compliance risk management information system;< /p>

Maintain daily working contact with regulatory agencies, track and evaluate the implementation of regulatory opinions and regulatory requirements;

Monitor employees' implementation of laws, regulations, standards and professional ethics, and respond to violations Investigate and deal with violations;

Complete other matters assigned by the Compliance Director.