- 目錄
崗位職責是什么
合規(guī)經(jīng)理，是企業(yè)中至關(guān)重要的角色，主要負責確保公司的各項業(yè)務(wù)活動遵循法律法規(guī)、行業(yè)規(guī)范及內(nèi)部政策，以維護企業(yè)聲譽，規(guī)避法律風險，并促進企業(yè)的可持續(xù)發(fā)展。
崗位職責要求
1. 深入理解并掌握國內(nèi)外相關(guān)法律法規(guī)，及時跟蹤法規(guī)更新，為公司提供準確的合規(guī)指導(dǎo)。
2. 設(shè)計并完善公司的合規(guī)管理體系，制定合規(guī)政策和流程，確保其有效性與實用性。
3. 對各部門進行合規(guī)培訓(xùn)，提升員工的合規(guī)意識和行為。
4. 對公司業(yè)務(wù)進行定期審查，識別潛在的合規(guī)風險，并提出解決方案。
5. 協(xié)助處理涉及合規(guī)的爭議和調(diào)查，確保公司利益最大化。
6. 建立良好的內(nèi)外部溝通機制，與監(jiān)管機構(gòu)保持良好關(guān)系，處理合規(guī)問題。
崗位職責描述
合規(guī)經(jīng)理的角色是企業(yè)合規(guī)文化的重要推動者，他們不僅是法規(guī)的守護者，也是企業(yè)內(nèi)部的教育者和咨詢顧問。他們需要具備敏銳的洞察力，能夠預(yù)判潛在的合規(guī)風險，并通過有效的策略和措施來防止問題的發(fā)生。他們還需要具備出色的溝通和協(xié)調(diào)能力，以便在各個部門之間建立共識，確保合規(guī)要求得到貫徹執(zhí)行。
有哪些內(nèi)容
1. 法規(guī)研究與解讀：深入研究并解析適用于公司業(yè)務(wù)的相關(guān)法律法規(guī)，包括但不限于稅務(wù)、勞動、環(huán)保、反壟斷等領(lǐng)域。
2. 制度建設(shè)：制定和修訂合規(guī)手冊、程序文件，構(gòu)建全面的合規(guī)管理框架。
3. 內(nèi)部審計與監(jiān)控：定期進行內(nèi)部合規(guī)審計，監(jiān)控業(yè)務(wù)活動的合規(guī)性，對發(fā)現(xiàn)的問題進行整改跟進。
4. 培訓(xùn)與教育：設(shè)計并實施合規(guī)培訓(xùn)課程，提高全員的合規(guī)素養(yǎng)。
5. 風險評估：識別并評估業(yè)務(wù)流程中的合規(guī)風險，制定風險應(yīng)對策略。
6. 協(xié)調(diào)溝通：與法務(wù)、財務(wù)、人力資源等部門緊密合作，確保合規(guī)要求融入日常運營。
7. 應(yīng)對危機：處理涉及合規(guī)的突發(fā)事件，如舉報、調(diào)查等，協(xié)助管理層制定應(yīng)對策略。
8. 外部關(guān)系維護：與監(jiān)管機構(gòu)、行業(yè)協(xié)會等外部機構(gòu)保持良好溝通，了解最新合規(guī)動態(tài)。
作為合規(guī)經(jīng)理，其工作不僅限于執(zhí)行任務(wù)，更在于塑造一個合規(guī)的企業(yè)環(huán)境，通過持續(xù)改進和創(chuàng)新，確保企業(yè)在遵守法規(guī)時，實現(xiàn)商業(yè)目標的高效達成。
合規(guī)經(jīng)理崗位職責范文
第1篇 內(nèi)控合規(guī)經(jīng)理崗位職責
內(nèi)控合規(guī)經(jīng)理 萬科集團總部沃土計劃 萬科集團總部沃土計劃(分支機構(gòu)) 工作職責:
1、主導(dǎo)公司內(nèi)部控制體系建設(shè),建立相關(guān)的規(guī)章制度;
2、對公司管理制度、工作流程和經(jīng)營管理過程中可能出現(xiàn)的風險點進行識別、分析和評估,
對完善公司制度和流程提出具體建議;
3、進行合規(guī)風險管理,組織項目事前風險審核、事中風險控制、事后風險檢查,草擬風險
預(yù)警提示和風險評估報告;
4、組織實施具體審計項目,包括專項審計、常規(guī)審計、舞弊審計、經(jīng)濟責任審計、離任或
離職審計、招采審計等;
5、輸出審計報告,提出整改建議。
任職要求:
1、 全日制本科及以上學歷,法律、會計、信息、審計等專業(yè);
2、 具備5年以上企業(yè)內(nèi)部審計從業(yè)工作經(jīng)驗;
3、 具有高度的職業(yè)敏感性和豐富的專項審計經(jīng)驗,能獨立完成專項審計項目;
4、 具備良好的公文寫作能力;
5、 誠實守信,責任意識強,積極進取;有良好的職業(yè)操守和溝通協(xié)調(diào)能力,工作原則性強;
6、具備一定的風險分析能力,具有較強的團隊協(xié)作能力及學習能力。
第2篇 風控合規(guī)經(jīng)理崗位職責
風控合規(guī)經(jīng)理 高晟財富控股集團有限公司 高晟財富控股集團有限公司,高晟財富,高晟財富控股,高晟財富集團,高晟 職位描述:
1、 負責產(chǎn)品風險審核
2、 參與產(chǎn)品交易結(jié)構(gòu)的設(shè)計、合同擬定及審核、風控措施落實
3、 追蹤項目投后管理
4、 公司內(nèi)部控制體系的建設(shè)
5、 領(lǐng)導(dǎo)交辦的其他事務(wù)
任職要求:
1、 年齡25-35周歲
2、 大學本科學歷以上,法律相關(guān)專業(yè)
3、 證券公司、基金子公司、信托公司、知名財富管理公司投行、風控、合規(guī)等部門3年以上工作經(jīng)驗
4、 熟悉財富管理行業(yè)、信托行業(yè)的相關(guān)政策、法律法規(guī)
5、 具備較強的學習能力和清晰的邏輯思維能力
第3篇 風險合規(guī)經(jīng)理崗位職責
風險合規(guī)經(jīng)理 東橡投資控股(上海)有限公司 東橡投資控股(上海)有限公司,東橡 職責描述:
1、負責公司內(nèi)控合規(guī)管理體系的搭建與優(yōu)化,負責公司內(nèi)控與操作風險有關(guān)的政策制定與更新;
2、對各業(yè)務(wù)條線的業(yè)務(wù)、文件進行合規(guī)性審查和操作風險審查,提供相關(guān)咨詢服務(wù);
3、負責公司新產(chǎn)品、新業(yè)務(wù)、信息披露材料等重要信息的合規(guī)風險識別及審核,保障業(yè)務(wù)運行經(jīng)濟高效;
4、負責制定公司內(nèi)部稽核計劃并組織實施,出具檢查和分析報告,并督促整改,對違規(guī)事件及違規(guī)責任人提出處理意見與建議;
5、推廣內(nèi)控和操作風險文化,有針對性地在各業(yè)務(wù)線進行各類培訓(xùn),積極推廣合規(guī)與操作風險文化內(nèi)涵;
6、負責設(shè)定并領(lǐng)導(dǎo)團隊完成各項工作計劃和目標。
任職要求:
1、全日制本科以上學歷,經(jīng)濟、金融、法學等相關(guān)專業(yè);
2、熟知股權(quán)、基金等金融合規(guī)管理(含合規(guī)檢查與測試、合規(guī)咨詢與審核等)的運作方式與基本要求;
3、有金融行業(yè)內(nèi)控合規(guī)審計經(jīng)驗,有實際搭建合規(guī)體系建設(shè)經(jīng)驗,能獨立進行落地實施;有公司總部級管理經(jīng)驗者佳;
4、熟悉國家法律法規(guī)、行業(yè)監(jiān)管規(guī)則、企業(yè)內(nèi)部控制規(guī)范等法規(guī),有獨立的業(yè)務(wù)合規(guī)分析及流程分析能力。
第4篇 合規(guī)經(jīng)理崗位職責
合規(guī)經(jīng)理 華瑞銀行 上海華瑞銀行股份有限公司,上海華瑞銀行,華瑞銀行,華瑞 職責描述:
(一)負責對口監(jiān)管機構(gòu)現(xiàn)場檢查及非現(xiàn)場檢查工作,跟蹤監(jiān)管意見和監(jiān)管要求的落實情況;
(二)持續(xù)關(guān)注外部法規(guī)的最新發(fā)展,正確理解外部法規(guī)的規(guī)定及其精神,及時為高級管理層提供合規(guī)建議;
(三)協(xié)助制定并執(zhí)行合規(guī)管理計劃;
(四)協(xié)助開展合規(guī)培訓(xùn);
(五)協(xié)助制定合規(guī)管理程序以及合規(guī)手冊、員工行為準則等合規(guī)指南;
(六)協(xié)助建立合規(guī)風險監(jiān)測指標,按照風險矩陣衡量合規(guī)風險發(fā)生的可能性和影響;
(七)協(xié)助開展合規(guī)風險評估和測試,包括通過現(xiàn)場審核對各項制度和程序的合規(guī)性進行測試,詢問制度和程序存在的缺陷,并進行相應(yīng)的調(diào)查;
(八)其他相關(guān)合規(guī)管理工作。
任職要求:
(一)全日制法律或經(jīng)濟、金融本科(含)以上學歷且接受過法學教育,通過國家司法考試者優(yōu)先;
(二)具有5年以上的商業(yè)銀行工作經(jīng)驗,且具有2年以上的監(jiān)管聯(lián)絡(luò)工作經(jīng)驗。熟悉銀行基本業(yè)務(wù),熟悉各類金融法律法規(guī),熟悉銀行合規(guī)管理工作內(nèi)容和要求;
(三)品行端正,工作勤奮踏實,吃苦耐勞,具有良好的溝通能力協(xié)調(diào)能力。
第5篇 法律合規(guī)經(jīng)理崗位職責
法律合規(guī)經(jīng)理 華能天成 華能天成融資租賃有限公司,華能天成,華能天成租賃,天成融資租賃,華能天成 職位描述:
1、參與各類項目的結(jié)構(gòu)設(shè)計、談判與法律文本起草、審核,負責具體項目的法律風險和政策風險評估;
2、搜集、整理與公司經(jīng)營有關(guān)的法律、法規(guī)、行業(yè)政策等信息,定期向公司領(lǐng)導(dǎo)及相關(guān)部門提供;
3、負責與律師、法院等法律部門的銜接、溝通;
4、出險事故的調(diào)查、處理及可能的仲裁、訴訟的應(yīng)對,為重大異常及預(yù)警、出險類項目的處理或仲裁、訴訟提供法律支持;
5、檢查公司業(yè)務(wù)運作流程,對公司各類合同的執(zhí)行情況進行監(jiān)督,規(guī)避法律風險。
職位要求:
1、全日制統(tǒng)招重點院校法律相關(guān)專業(yè)本科及以上學歷。
2、2年以上律師或企業(yè)法律顧問相關(guān)工作經(jīng)驗,通過國家司法考試者優(yōu)先。
3、熟悉金融行業(yè)法律、法規(guī)及行政規(guī)定,能夠熟練制訂合同文本。
4、具有較強的溝通組織能力、邏輯分析能力和文字綜合能力,具有高度的責任心和良好的職業(yè)操守。
第6篇 法務(wù)合規(guī)經(jīng)理崗位職責
法務(wù)合規(guī)經(jīng)理(知識產(chǎn)權(quán)方向) 青島億聯(lián)客信息技術(shù)有限公司 青島億聯(lián)客信息技術(shù)有限公司,yeelight,yeelink,億聯(lián)客 崗位職責:
1、負責構(gòu)建并落實公司的知識產(chǎn)權(quán)管理體系,制定和實施公司在境內(nèi)外的知識產(chǎn)權(quán)(主要是商標、域名、軟件著作權(quán))申請和管理方案;
2、制定和實施公司的合規(guī)政策,負責知識產(chǎn)權(quán)侵權(quán)監(jiān)控,為公司的知識產(chǎn)權(quán)和商譽保護提供法律支持, 為公司相關(guān)業(yè)務(wù)條線和員工提供知識產(chǎn)權(quán)法和競爭法相關(guān)的法律咨詢;
3、處理相關(guān)訴訟案件或危機事件;對接和管理相關(guān)境內(nèi)外律師事務(wù)所、其他專業(yè)代理機構(gòu);
4、負責其他與知識產(chǎn)權(quán)相關(guān)的工作。
任職要求:
1、本科以上學歷,法學或理工類專業(yè),熟悉并掌握專利法、著作權(quán)法、商標法等關(guān)于知識產(chǎn)權(quán)方面的法律法規(guī),對機械結(jié)構(gòu)、電子等有專業(yè)認知;
2、至少5年以上國內(nèi)外知名企業(yè)或律所知識產(chǎn)權(quán)實戰(zhàn)經(jīng)驗,擁有豐富的國內(nèi)外海外專利訴訟、許可談判經(jīng)驗者;
3、通過專利代理人考試者或具有中國或美國律師資格者優(yōu)先;
4、英文優(yōu)異優(yōu)先。
第7篇 高級合規(guī)經(jīng)理崗位職責
合規(guī)高級經(jīng)理 supporting the senior director for effective leadership of enhancing compliance culture locally in the specified affiliate, including accountability and consequences for non-compliance.
supporting the senior director for effectively implementing the global compliance standard and carrying through the global standard to the local organization in the specified affiliate through strategic planning and effective communication, training and monitoring of policies, controls and initiatives across functions and throughout the region.
supporting the senior director for effective leadership of ethics & compliance locally to ensure the specified affiliate maintains an effective compliance program and accomplishes the global compliance standard by conducting business and all activities with the highest sense of ethics and integrity, with consistent and appropriate consideration of local differences.
supporting the senior director for leading tone from the top and other compliance communication programs that emphasize the importance of compliance, maintaining a speak up culture and the company’s commitment to compliance and acting in a legal, compliant and ethical manner
ethics & compliance policy developments and supportive processes in the specified affiliate
coordinating risk assessment, identification and management activities to ensure an integrated approach to identifying and managing risk, performing prospective systemic reviews of applicable processes, protocols, and practices and/or retrospective reviews of actual practices, and facilitating the completion of risk maps for significant risks in coordination with global and regional monitoring activities in the specified affiliate.
planning and implementation of adequate monitoring and control system to secure a high level of compliance with the entire organization in coordination with global and regional monitoring activities in the specified affiliate.
anti-bribery and anti-corruption program, including third-party due diligence processes relating to compliance in the specified affiliate
data privacy according to the local laws and requirements in the specified affiliate
control on information provided to hcp by commercial or medical in the specified affiliate
control on payment or funding (including grant, donation and sponsorship) to hcp or healthcare organizations in the specified affiliate
identifying, defining and tracking the compliance and regulatory environment in the applicable local countries in the specified affiliate
supporting the senior director for the management of processes to collect and appropriately report compliance violations and potential violations in a timely fashion, including effective implementation and management of compliance hotlines and helplines.
supporting the senior director for strategic oversight of tracking, trending and appropriate investigation of and follow-up on ethics and compliance related issues, concerns or actual or potential violations consistent with global and regional processes; this includes implementing appropriate corrective actions if violations occur.
benchmarking local compliance initiatives and structures to ensure that the company follows best practices in the pharmaceutical industry.
supporting the senior director for allocating compliance resources in accordance with the level of compliance risk in the specified affiliate.
supporting the senior director for identifying, preventing and/or resolving local and specified compliance risks, including management of local ethics and compliance risk assessments and support for regional and global ethics and compliance risk assessments.
supporting the senior director for oversee and ensure that specified affiliates establish and run cross-functional local compliance committees with appropriate governance.
implementing, enhancing and ensuring that transfers of value to hcps, hcos, patient organizations and any other required transparency are appropriately done, collected and reported within the regional and/or global framework for transparency, in accordance with laws, regulations, codes and company policies and processes in the specified affiliate.
effectively implementing the third party compliance standard to the local business partners in the specified affiliate
other ethics & compliance initiatives deemed necessary to further enhance astellas’ commitment to compliance (including global leadership role for certain specific area) in the specified affiliate and regionally, as directed by the senior director, e&c, east asia supporting the senior director for effective leadership of enhancing compliance culture locally in the specified affiliate, including accountability and consequences for non-compliance.
supporting the senior director for effectively implementing the global compliance standard and carrying through the global standard to the local organization in the specified affiliate through strategic planning and effective communication, training and monitoring of policies, controls and initiatives across functions and throughout the region.
supporting the senior director for effective leadership of ethics & compliance locally to ensure the specified affiliate maintains an effective compliance program and accomplishes the global compliance standard by conducting business and all activities with the highest sense of ethics and integrity, with consistent and appropriate consideration of local differences.
supporting the senior director for leading tone from the top and other compliance communication programs that emphasize the importance of compliance, maintaining a speak up culture and the company’s commitment to compliance and acting in a legal, compliant and ethical manner
ethics & compliance policy developments and supportive processes in the specified affiliate
coordinating risk assessment, identification and management activities to ensure an integrated approach to identifying and managing risk, performing prospective systemic reviews of applicable processes, protocols, and practices and/or retrospective reviews of actual practices, and facilitating the completion of risk maps for significant risks in coordination with global and regional monitoring activities in the specified affiliate.
planning and implementation of adequate monitoring and control system to secure a high level of compliance with the entire organization in coordination with global and regional monitoring activities in the specified affiliate.
anti-bribery and anti-corruption program, including third-party due diligence processes relating to compliance in the specified affiliate
data privacy according to the local laws and requirements in the specified affiliate
control on information provided to hcp by commercial or medical in the specified affiliate
control on payment or funding (including grant, donation and sponsorship) to hcp or healthcare organizations in the specified affiliate
identifying, defining and tracking the compliance and regulatory environment in the applicable local countries in the specified affiliate
supporting the senior director for the management of processes to collect and appropriately report compliance violations and potential violations in a timely fashion, including effective implementation and management of compliance hotlines and helplines.
supporting the senior director for strategic oversight of tracking, trending and appropriate investigation of and follow-up on ethics and compliance related issues, concerns or actual or potential violations consistent with global and regional processes; this includes implementing appropriate corrective actions if violations occur.
benchmarking local compliance initiatives and structures to ensure that the company follows best practices in the pharmaceutical industry.
supporting the senior director for allocating compliance resources in accordance with the level of compliance risk in the specified affiliate.
supporting the senior director for identifying, preventing and/or resolving local and specified compliance risks, including management of local ethics and compliance risk assessments and support for regional and global ethics and compliance risk assessments.
supporting the senior director for oversee and ensure that specified affiliates establish and run cross-functional local compliance committees with appropriate governance.
implementing, enhancing and ensuring that transfers of value to hcps, hcos, patient organizations and any other required transparency are appropriately done, collected and reported within the regional and/or global framework for transparency, in accordance with laws, regulations, codes and company policies and processes in the specified affiliate.
effectively implementing the third party compliance standard to the local business partners in the specified affiliate
other ethics & compliance initiatives deemed necessary to further enhance astellas’ commitment to compliance (including global leadership role for certain specific area) in the specified affiliate and regionally, as directed by the senior director, e&c, east asia
第8篇 財務(wù)合規(guī)經(jīng)理崗位職責
合規(guī)經(jīng)理-財務(wù)方向 ? accurately prepare financial statements, business activity reports, and forecasts.
? provide technical e_pertise and advice on comple_ accounting issues to functional or operational areas managers to help them develop revenue and e_pense budgets, understand financial reports, and manage their financial responsibilities, to ensure the organization receives satisfactory standards of service.
? review company financial reports and seek ways to reduce costs.
? ensure the accounting activities managed in accordance with accounting principles and comply with all relevant ta_ laws and regulations that affect the industry. these activities may include accounts payable and receivable; general ledger maintenance; financial analysis and reporting; budgeting, revenue, and asset accounting.
? analyze market trends to find opportunities for e_pansion, and help management make financial decisions.
? support headquarters and superior for ad hoc projects as necessary.
the incumbent
? bachelor degree or above in accounting or related disciplines.
? 8+ years overall combined accounting and finance e_perience, from which 5+ years management e_perience.
? cpa or cma preferred.
? thorough knowledge of accounting principles and procedures.
? e_perience with manufacturing business preferred.
? e_cellent accounting software user and administration skills.
? audit e_perience preferred but not necessary.
? knowledge of erp systems.
? good leadership skill, problem solving and analytical skill.
? proficient in written english. ? accurately prepare financial statements, business activity reports, and forecasts.
? provide technical e_pertise and advice on comple_ accounting issues to functional or operational areas managers to help them develop revenue and e_pense budgets, understand financial reports, and manage their financial responsibilities, to ensure the organization receives satisfactory standards of service.
? review company financial reports and seek ways to reduce costs.
? ensure the accounting activities managed in accordance with accounting principles and comply with all relevant ta_ laws and regulations that affect the industry. these activities may include accounts payable and receivable; general ledger maintenance; financial analysis and reporting; budgeting, revenue, and asset accounting.
? analyze market trends to find opportunities for e_pansion, and help management make financial decisions.
? support headquarters and superior for ad hoc projects as necessary.
the incumbent
? bachelor degree or above in accounting or related disciplines.
? 8+ years overall combined accounting and finance e_perience, from which 5+ years management e_perience.
? cpa or cma preferred.
? thorough knowledge of accounting principles and procedures.
? e_perience with manufacturing business preferred.
? e_cellent accounting software user and administration skills.
? audit e_perience preferred but not necessary.
? knowledge of erp systems.
? good leadership skill, problem solving and analytical skill.
? proficient in written english.
