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Compliance Manager - Mandarin Speaking

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $140000 - $150,000 base

  • Contact:

    Thomas Byrne

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    Job ID: 98983

  • Published:

    5 months ago

  • Expiry date:


  • Startdate:


We're working exclusively on an exciting opportunity for a fluent Mandarin speaking compliance manager to join a growing firm in New York.

This is a great position to work as a Deputy to the CCO and help to build out the compliance and operational risk program. Covering all areas associated within a broker-dealer organisation.

What you'll be doing:

  • Help to design and implement a risk-based approach to testing first-line and second-line controls and monitor effectiveness against policies and procedures
  • Provide key input into the Firm’s risk management tools and evaluate risks to ensure alignment between the Firm’s broader risk appetite while weighing business objectives
  • Maintain Firm’s Risk Management Framework manual and New Product/Business Approval procedures
  • Perform annual compliance testing and risk & control self-assessments, track remediation progress while driving solutions
  • Support Firm’s overall risk framework and monitor and analyze financial and non-financial risks within the Firm’s business units and assist with developing policies, procedures and preparing reports on various risk categories to senior management
  • Coordinate and drive consistency across all operational risk management initiatives in collaboration with the Head Office Operational Risk team

What they're looking for:

  • Fluent mandarin speaker, strong verbal and non-verbal mandarin communication skills
  • 5+ years experience within Risk & Controls, Compliance and/or Operational Risk 
  • Bachelors degree level educated 
  • Series 7 is desirable

This role can be based in New York or remotely in the US dependent on the candidate. There is a strong preference for this person to be based in New York.

For more information get in touch at

#LI-TB1 #LI-Remote