Compliance Manager, China Securities (Shanghai)

Our Client

Our client is a prominent financial institution known for its commitment to excellence and innovation in the industry. With a strong global presence and a history of delivering exceptional financial services, they are a leader in the China as well as the Asia region. Right now, our client is looking for a Compliance Manager, China Securities for their office in Shanghai. In this pivotal role, you will play a crucial part in shaping and executing the technology and architecture strategy for one of the world’s foremost financial institutions.

Job Description

• Seek to ensure that Asset Management operates in conformity with all applicable laws, regulations, and restrictions as well as applicable Group Compliance standards so as to mitigate compliance risks Advise Asset Management compliance risks and control matters affecting the business, taking into account regulatory changes and developments Ensure Asset Management are well informed and advised of key issues.
• Work closely with Asset Management to establish an appropriate compliance culture Ensure a robust compliance monitoring program is in place and carried out locally, aligned with the Asset Management compliance control plan and other monitoring standards.
• Ensure that outsourced activities are monitored properly
• Ensure that the Asset Management staff operates within the local framework for marketing activities and in full compliance with the issued Do’s and Don’ts policy
• Conduct training and awareness sessions to ensure that Asset Management staff/management in the business are aware of relevant regulations Group compliance and control obligations, policies and required actions
• Provide staff training and advisory service to Asset Management on financial security (KYC, AML, Sanctions), Market Integrity, Protection of Interests of Client, Professional Ethics, etc.
• Prevent and manage various potential conflicts of interest in relation to Asset Management Aggregate and report any identified risk on Asset Management Business to the Chief Compliance Officer
• Perform a second level control per the Control plan, to assess and report on the adequacy of the control framework Implement all necessary local compliance control measures, including but not limited to compliance reviews, inspections, surveillance, assessments, reports in relation to Asset Management business regional support – to provide Head of Compliance APAC Asset Management with support on various projects as agreed from time to time, assisting the coordination of Compliance topics for the APAC region
• Work very closely with other members of Compliance Department of the Company on all compliance matters that is applicable to the Compliance Department as a whole Handle other compliance matters delegated by the Chief Compliance Officer

Requirements

• Bachelor’s degree in Business Management or related field
• Minimum 6 years of Compliance related experience in securities asset management industry
• Securities practitioner qualification is a must
• Fund practitioner qualification is a must
• Preferably passing the relevant compliance professional competency examinations organized by AMAC preferred
• Detailed knowledge of asset management industry, international experience desirable
• Strong Knowledge of market instruments
• Advanced Excel/VBA skills, CFA or another relevant professional qualification in investment management is a positive asset
• Proactive, a good team player
• Good communication skills
• Proficiency in written and spoken Mandarin and English is essential