Dealer Compliance Leader 代理商合规主管 Job (Shanghai, ShangHai, China)

- Attend GCO as compliance expert to review and approve necessary risk areas of the company;

- Draft and update GCO related compliance policies, especially ITP compliance and management policies;

- Work together with business teams to evaluate compliance performance of each contract dealers, analyze channel management and risk control, identify potential compliance risk areas, and update them with the company management team through direct manager and business leaders;

- Daily communicate with related GE staffs from business frontlines and supporting functions to educate and drive them to execute company compliance policies, especially ITP policies;

- Monitor and periodically audit the approved ITP' execution of company compliance policies;

- Prepare and review legal documents in connection with ITP, provide legal/compliance opinions to internal and external customers, and give necessary support to compliance counsels/legal counsels in cases in connection with ITPs;

- Facilitate and deliver compliance training/roadshows to ITPs and GE internal commercial staffs;

- Investigate compliance issues, and work together with compliance counsels/legal counsels on disciplinary actions to GE staffs/ITPs;

- Collect and analyze ITP data and matrix, and prepare and draft CRB and COR review related documents;

- Regular communicate with corporate, global and other region's ITP, compliance and legal teams;

- Work with business leaders, HR, channel managers and direct manager to evaluate G&O accomplishment of each dealer support/dealer manager and other dealer related commercial staffs;

- Support direct manager to give all necessary assistance/trainings to junior compliance specialist as mentor, to manage certain projects on internal & external compliance control, and to drive the operational excellence of ITP compliance team;

- Other tasks assigned by direct manager, chief compliance counsel and general counsel.

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