Identifying and evaluating compliance risks related to the company's business activities, including providing necessary compliance review for the development of new products and new businesses, and identifying and evaluating compliance risks arising from the expansion of new businesses, the establishment of new customer relationships and major changes in the nature of customer relationships; Supervise the company to take necessary control measures against compliance risks and continuously track the changes of compliance risks of the company;
Organize compliance review of the company's policies, rules and regulations, operating procedures, major decisions, new business and new product plans, issue compliance review opinions, and urge all business departments to sort out and revise policies, rules and regulations and operating procedures to ensure that they meet the requirements of laws, regulations and policies of regulatory authorities;
Organize compliance inspection and issue compliance inspection report; Issue rectification opinions on violations or hidden dangers, track the implementation of rectification, and issue rectification acceptance reports.
Organize compliance training, including compliance training for new employees and continuous compliance training for on-the-job employees; Conduct compliance culture education for employees of the company, carry out compliance culture construction, implement the compliance concept of active compliance and compliance to create value, and improve employees' compliance awareness;
Continue to pay attention to the latest trends of laws, regulations and regulatory policies, correctly understand the provisions and spirit of laws, regulations and regulatory policies, 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 the violation reports of all departments and branches of the company;
Organizing the implementation of the anti-money laundering system;
Implement adequate and representative compliance risk assessment and testing, including testing the compliance of various policies and procedures through on-site audit, asking about the defects of policies and procedures, and conducting corresponding investigations; Check the operation and business process of each department;
Responsible for monitoring and checking the compliance of related businesses through the compliance risk management information system;
Maintain daily working contact with regulatory agencies, track and evaluate the implementation of regulatory opinions and regulatory requirements;
Supervise employees to implement laws, regulations, standards and professional ethics, and investigate and deal with violations;
Complete other tasks assigned by the Compliance Director.