工作职责：

Accountability Requirements:
? Serve as CICC US’ AML Officer. Manage, coordinate and monitor all aspects of Bank Secrecy Act (“BSA”), anti-money laundering (“AML”) and sanctions compliance and adherence to the BSA, AML and sanctions requirements for CICC US, including but not limited to those promulgated by OFAC.
? Develop and maintain a reasonably designed risk-based BSA, AML and sanctions program for CICC US.
? Draft and update relevant BSA, AML and sanctions policies and procedures. Monitor adherence to such policies and procedures.
? Create and compile metrics, reports and pertinent information for presentation to the senior management to inform of the status of the BSA, AML and sanctions program.
? Maintain a detailed knowledge of all applicable BSA, AML and sanctions related laws, regulations, regulatory changes, industry guidance, trends and emerging areas of concern as relates to the broker dealer. Analyze the impact of AML and sanctions regulations within the business, operational and compliance processes.
? Create action plans and implement any remedial actions for all functions of BSA/AML and sanctions for CICC US.
? Develop and deliver appropriate and tailored AML training programs commensurate with identified needs.

任职资格：

? Minimum Work Experience Requirements: 5 years or above managing a BSA, AML, sanctions compliance, risk management or internal control position. Brokerage industry preferred.
? Minimum Education and /or Certifications: Bachelor’s Degree in Finance, Business Administration, Economics, or related field. ACAMS or CRCM certification preferred.
? Technical and/or Essential Knowledge: Strong knowledge of the Bank Secrecy Act, AML and sanctions regulations and compliance controls as relates to brokerage businesses.
? Bilingual English/Mandarin Chinese is required.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties, and skills required.