Qualifications:
1, obtained the qualification of senior management personnel of securities companies.
2. Familiar with securities business, securities laws, regulations and standards, and have the professional knowledge and skills required for compliance management.
3, engaged in securities work for more than 5 years, and passed the relevant professional examination or have more than 8 years of legal work experience; Or have worked in a professional supervision position of a securities regulatory agency for more than 8 years.
The specific work includes
Issue compliance review opinions on the company's internal management system, major decisions, new products and new business plans; Supervise relevant departments to timely evaluate and improve the company's internal management system and business process according to the changes of laws, regulations and standards; Supervise the legality and compliance of the management and practice of the company and its staff, and conduct regular and irregular inspections; Handle complaints about violations of laws and regulations by companies and employees.
The "Compliance Director" shall not concurrently hold a position that conflicts with the compliance management responsibilities, nor shall he be in charge of a department that conflicts with the compliance management responsibilities. The "Compliance Director" shall report to the internal organization stipulated in the Articles of Association and to the China Securities Regulatory Commission or the securities regulatory bureau of the company's domicile in time when he finds that the company has illegal acts or risks.
A securities company shall set up a compliance department according to its own conditions or designate relevant departments to cooperate with the "compliance director" for compliance management. For securities companies that fail to effectively implement compliance management, have imperfect internal control or commit illegal acts, the regulatory authorities will take regulatory measures or pursue administrative responsibilities against the company and its responsible directors, supervisors and senior managers according to law.