合规部-Compliance Dept.
作为公司的内控部门，对公司及全体员工的经营管理和执业行为的合规性进行审查、监督和检查，为公司持续规范发展提供合规支持。具体包括：组织拟定公司合规管理制度，督导各部门、业务线执行；对公司内部规章制度、重大决策、新产品和新业务方案等进行合规审查，并出具书面合规审查意见；为公司业务管理和重大项目提供法律和合规支持与服务；向各部门、业务线提供合规咨询和进行合规宣传培训；对公司有关经营活动及员工行为的合规性进行监测和检查、配合监管机构相关落实合规要求和专项检查。 As the internal control department of the Company, the Compliance Department is responsible for the review, supervision and inspection of compliance of the operation management and practicing conduct of the Company and all its employees, and. It provides compliance support for the sustainable and compliant development of the Company. Its specific responsibilities include: organizing and drawing up the compliance management rules of the Company and urging and supervising all departments and business lines to implement them; performing compliance review of the internal rules and regulations, major decisions, new products and new business plans of the Company, and issuing written compliance review opinions; providing legal and compliance support and services for the business management and management projects of the Company; providing compliance advice and offering compliance publicity and training to all departments and business lines; monitoring and checking the compliance of the relevant business activities and employee conduct of the Company, and cooperating with the regulatory authorities to implement relevant compliance requirements and special inspections.
岗位职责说明
4个工作方向four work direction
1.负责金石投资、中信金石、金石灏汭、中信证券投资有限公司（权益类）、参加投行业务内核小组、监督投行委部分产品簿记建档。
Responsible for Jinshi Investment, CITIC Jinshi, Jinshi Haorui, CITIC Securities Investment Co., Ltd. (Equity);Participate in the internal examination group of the investment banking business and supervise the work of bond bookkeeping of the investment banking committee.
2.从事部门投行业务合规管理助理岗位工作，工作内容包括：就专题事项进行研究，并提交研究成果；协助审核基础性协议；协助梳理投行业务相关违法违规案例；协助参与中控室相关辅助性工作；协助参与与香港及境外投行业务部门及合规部门的对接沟通工作；协助梳理投行业务相关法律法规及合规风险点。Engaged in the work of compliance management assistant of the investment bank business, including:Conducting research on the subject matter and submitting the research results;Assisting in reviewing the basic agreements;Assisting in sorting out cases involving investment bank business related violations;Getting involved in assisting with relevant auxiliary work of Control Room;Getting involved in liaison with HK and overseas investment business department and compliance department; Assisting in sorting out relevant laws/regulations and compliance risk points of investment banking business.
3.参与搭建公司全球一体化管理体系，确保公司一体化管理符合合规要求；负责制定、审核跨境业务涉及的各类合规制度，组织、协调境外合规团队,确保境外业务的合规运作；负责对境外业务开展提出合规建议；追踪境外法律法律和监管规则，编辑《国际监管动态》。
Getting involved in building up the global integration management system;Managing overseas compliance work including drafting and reviewing rules and procedures for cross-border businesses;organizing and coordinating overseas compliance teams and conducting compliance inspections on overseas subsidiaries;Providing compliance suggestions on cross border businesses;following offshore rules and regulations,editing Dynamics of International Regulation.
4.（协助反洗钱合规专岗制定、修订公司反洗钱内部控制制度和操作规程；协助开展对场外业务客户的反洗钱尽职调查初级分析公司；协助反洗钱专岗开展公司海外税收法案（FATCA/CRS）及制裁相关合规工作；对反洗钱法律法规准则和监管要求的追踪、传达和落实工作；Provide assistant on AML policies and procedures revision;Support on first level client due diligence(CDD); Support on FATCA/CRS/Sanction program；Responsible for tracking, collecting and interpreting laws, regulations and regulatory rules related to AML;
任职资格要求
1. 国内2021年应届生，全日制硕士或博士在校生，本科为法学相关专业、硕士为民商法学及相关专业；
Students graduating in 2021 from universities in China mainland with Master’s or Doctoral degree,Bachelor's degree in law and master's degree in civil and commercial law ；
2. 优秀的学习能力，强烈的成就动机，较强的抗压能力；
Outstanding learning ability, highly motivated and able to work under stress;
3. 较强的逻辑分析能力，良好的沟通、表达能力；
Strong logical, analytical, communication, and presentation skills;
4. 良好的开拓创新、组织协调能力以及团队合作、敬业精神；
Excellent innovative mindset, leadership qualities, strong team work consciousness and high enterprising spirit;
5. 具备优秀的英语听说读写能力；
Excellent English reading and writing skills;
6. 学习成绩优异，通过法律职业资格等考试者优先。
Excellent academic performance, certified completion of professional legal qualifications and other examinations is preferred.
