Compliance Audit

1. Responsible for the development of the company's overall legal and compliance system;

2. Review the compliance of business processes and settings, alert business leaders and management to compliance risks in business operations and management, and provide corrective advice on business settings with compliance issues or high compliance risks;

3. Analyze the impact of new regulatory rules and policies on the business and provide corrective recommendations;

4. Analyze, evaluate, and provide recommendations on regulatory and compliance issues encountered by business units and other departments during business development, post-investment management, product issuance, and other processes;

5. Establish and improve legal and compliance rules and regulations for the business units responsible.