上海招聘

Responsibilities:
Reporting Lines--The individual report
Day to day management and Compliance oversight – Local CEO.
Compliance Oversight – Group Compliance (individual responsible for Compliance oversight of Group).

Criteria
The criteria below are to be performed under the oversight of the Local CEO and Group Compliance. The role will be conducted in co-ordination with and supported by the Group/Regional Compliance Teams, in addition to local management.

Day to Day Operational
Assist to coordinate the day-to-day Compliance requirements, including document control, maintenance of records, filing, responding to queries, etc.

Regulations, Rules Policies & Advice
Keep updated with, understand and communicate regulatory rule changes to the Senior Management, business and Compliance functions (including Group and Regional Compliance functions).

Advice on application of regulatory rules and policy.
Promptly respond to business unit queries, from a Compliance perspective;
Assist in rolling out policies and procedures and update, as applicable, in the light of new legislation / regulation and improve compliance management and risk control mechanisms. This is to include the identification of potential changes. Submit proposals of any regulatory rule changes to Senior Management (including Group and Regional Compliance functions.

Management Information
Collation and creation of Management Information (MI), including the Shanghai office Legal & Compliance Reports.
Production of MI to assist senior management in overseeing the business, from a regulatory perspective.
Attend/participate in business and control function meetings as required and contribute in a proactive manner.
Regularly issue communication to employees (FAQ) and provide consultation to compliance questions.

Complaints & Treating Customers Fairly
Provide appropriate advice and services to customers.
Collate, record and conduct initial investigations / reviews of customer complaints.
Liaise with / notify the Regional Compliance Teams of complaints, providing appropriate supporting information.
Report to Senior Management on Complaints.
Provision of management information for the Treating Customers Fairly Reports.

Compliance Monitoring & Reviews
Carry out monitoring, surveillance and reviews, in accordance with the Compliance Monitoring Programme for the Shanghai office, agreed with Senior Management.

Financial Crime Prevention
Carry out monitoring and surveillance under the AML/CTF program, including suspicious transaction reporting.

Training
Conduct regulatory training to the business, enhance compliance awareness of employees through various activities.

Licensing & Authorisations
Assist to update Shanghai office business license and related qualifications to ensure the smooth conduct of business.

Legal Support
Assist to handle litigation, arbitration, clients disputes and other legal issues, provide regulatory and policy advice where required, protect company interests through proper process.
Close liaison with head office, contact external legal adviser as required.

Other
Other tasks assigned by the local CEO and Group Compliance.


Qualifications/Experience:
1. Bachelor degree or above, major in Law/Accounting / Commerce;
2. 2 to 3 years Compliance/Internal Control/ Internal Audit experience in Financial Services industry;
3. Knowledge of regulations around Anti-money Laundering (AML), Client On-boarding and Financial Advice;
4. Investment/brokerage experience highly regarded but not mandatory;
5. Training experience highly regarded but not mandatory;
6. Fluent in both written and spoken Chinese and English.

Personal attributes:
1. Confident and outgoing personality;
2. Analytical- and creative-minded, can think through processes and find a solutions;
3. Organised, resilient and proactive work style;
4. Diplomatic and excellent communicator, can deal with different levels of management within the business.

IFX Markets Inc. is a Futures Commission Merchant by the CFTC and is a member of the National Futures Association. It is the US subsidiary of the London-based international market maker IFX Markets Ltd, which provides its institutional and retail clients with a wide range of innovative leveraged financial products, principally in the investment consulting and global equity markets. IFX Markets Ltd has operated since 1995 in the investment consulting markets with a full range of currency products for both institutional and retail customers. It has a long established reputation for professional dealing with its clients and a robust technology platform that will both support and develop IFX Market's investment consulting services. IFX Markets Ltd is regulated throughout Europe by the Financial Services Authority, and is a member both of the London Stock Exchange and of the London Metal Exchange. IFX has over 20,000 retail customers. IFX Markets Ltd's parent company, IFX Group plc, has been fully listed on the London Stock Exchange since 1965. Its principal shareholders include many of the world's leading financial institutions, including Schroders Investment Management, Invesco, Scottish Widows, and Fidelity.

IFX Markets Inc是美国联邦商品期货交易委员会（CFTC）的注册交易商，并且是美国国家期货协会 (NFA) 的成员，NFA注册号0327627。作为一家注册交易商，IFX始终保持高标准，业务行为受到联邦财政政策及财务报告制度 的严格监督和管理。IFX为全球众多的个人、机构和基金客户提供了通往全球公正的外汇市场的桥梁。
IFX从1995年就已经开始为外汇保证金交易零售市场提供交易服务。凭借优秀的交易平台软件和出色的专业服务团队长期建立起来的良好声誉，IFX赢得了全球众多客户的信赖。
IFX Markets Inc 的母公司IFX Group Plc（www.ifxgroupplc.com），位于英国伦敦，从1965年起在伦敦证交所上市，并且是伦敦金属期货交易所的成员。作为一家公众上市公司，我们受到更多的市场监督。依靠集团公司稳固的财务根基及快速增长的资产，为客户的交易资金提供较佳的安全保障。
IFX Markets Inc.的客户遍布全球，南北美洲，非洲，欧洲，亚洲。2005亚洲客户服务中心落户上海为当地客户提供更周到贴近的服务。
2006年，IFX Group, PLC，IFX Markets, Ltd的母公司，由City Index Holdings, Ltd.收购成为其旗下公司。
City Index Holdings, Ltd. 1983年成立， 是IPGL Limited子公司，而IPGL Limited 是世界领先的金融衍生产品交易商ICAP plc.的大股东。

IFX Markets,世界知名外汇交易商，在伦敦、波士顿、上海设有办公室。上海办公室扩展中，期待优秀人才加入！

有意者请将简历寄至以下联系方式，谢绝登门拜访！
联系方式：
公司地址：上海市淮海中路222号力宝广场29楼
29F，Lippo Plaza，222 Huaihai Zhong Rd.，Shanghai
邮政编码：200021
联系人员：HR