 Perform compliance management and risk management of assess management in China; Responsible for fund product issuance, regulatory registration and filing, management, operation and other compliance matters; Participate in selection fund administrators, custodian banks and distributors;Conduct and monitor KYC\AML\FT\Sanction; Be in charge of Anti-bribery & corruption, conflict interest, ect.Responsible for communication with regulators-AMAC,CSRC,BFB; Identify, analyze, mitigate and provide remediation on market risks, operational risks, liquidity risks and FX risks; Privide business recommendiations on compliance and risk control;Organize local and regional compliance and risk management meetings and provide meeting materials; Cooperation with external lawyers, auditors and agencies; Deliver Compliance and risk training, etc履行中国区基金公司合规管理、风险管理；负责基金产品发行、监管登记和备案、管理、运营等合规事项；参与筛选基金行政管理人、托管行、销售渠道等；制定，实施和监控KYC\AML\FT\Sanction；监管反腐败反馈路，利益冲突等内控；负责与监管沟通；市场风险, 运营风险, 流动性风险, 汇率风险等识别,分析,化解等；为业务部门提供合规和风险建议；组织本地、区域合规风控会议并提供会议资料；外部律师、审计、代理机构等协作；合规内控及培训等。

Oversee central compliance tasks activities across Asia, such as monitoring and testing, law and regulations gap analyze, risk assessment, and outsourcing KYC,etc. Businss lines include bank entity, Securities firm, Asset Management.Develop bank's compliance and Conduct Program in Asia and keep the abreast of regulations.Be accounable for day-to-day activities related to risk management, KYC Due Deligence,Pre-approval, Risk Assessment, etc.Review the Asia Compliance Control metrics covering escalations, privacy incidents, and compliance policy breaches, etc. and highlight for management awareness, Provide advisories to Group and Business in compliance matters such as privacy, access control, and general code of conduct matters.Identify and investigate compliance and risk issues, mitigate relevant risk.Conduct gap assessments with regualtion and laws, conclude the enhancement of opportunities and promote the fulfilment.Risk assessment performed across Asia business regularly, insight and remediate risk, guide business comply with laws and regulations.Design and deliver risk and compliance training across Asia business.

Deliver deep industry and functional expertise to help clients evaluate, build and maintain risk strategies, inspiring complex change, processes improve, enabling organizations to grow, building competitive advantage, and driving bottom-line impact, etc.

Drive and oversee the execution of Compliance and Operational risk programs across North branches (Corporate and Wealth Management) to comply with regulatory policy and bank standards.  Compliance and operational risk oversight. Conduct day-to-day compliance monitory and risk control, including conduct code, AML\KYC\CDD\CTF\Sanction, products (securities, fund, bond, FX,Derivative), information, access control, etc;  Advisory. Provide advisories and assistance to senior management in regulation changes and compliance matters such as privacy, product, access control, and code of conduct matters Risk assessment . Oversee Operational Risk and compliance activities such as govern, identify, evaluate, monitor & test, manage and report. Review and interpret risk and compliance policies to senior management and business lines. Resource planning, review the actual and forecasted expenses and headcount. Regulatory interaction. Keep open relationships with regulators, such as CBIRC, PBOC and SAFE ; Coordinate regulatory inspections and act as key liaison person.  Leadership and training. Deliver training to BU on the Compliance, AML policy and risk conduct. New business initiatives. Review new business initiatives from regulatory, best practice and advise stakeholders on the implementation. Licensing and registration. Handle regulatory approvals and registrations for new branch. Ensure business development, personnel activities, rotation are operated within the licensed scope and with proper registration and certification.

Payment,trade,cash,Acc of across lines of business.FX in capital marketing with FX certification of SAFE HO.Achieve BOP award of SAFE in 2005.Establish and maintain strong regulatory relationship with PBOC,CBRC,SAFE and other regulators.

Capital management, interest management credit,international business, BM.