Chief Compliance Officer

  • 2 months - 4 months
  • Shanghai, Shanghai Shi, China Shanghai Shanghai Shi CN
  • Permanent, Full time
  • Profile Search & Selection
  • 18 Aug 18 2018-08-18

Provide compliance support for the Company's China both onshore and offshore business. Ensure both onshore and offshore China sales team and onshore China investment team familiar with the internal and external rules and regulations.


  1. Provide oversight control and establish strong compliance culture in the Shanghai office
  2. Review the global policies and compare such with the local regulatory requirements in order to produce the local policies for the Office to comply with.
  3. Review China business marketing materials
  4. Prepare regulatory filings
  5. Responsible for processing and applying licenses with regulators/authorities for the Office and the relevant staff
  6. Responsible for AML/ KYC for client on boarding and any required due diligence to be followed.
  7. Actively support regulatory registrations as private fund manager and product launch for of QDLP and private funds including review and drafting of product offering and constitutive documents
  8. Develop and maintain sales policy & procedures
  9. Provide compliance training to colleagues involved in China-related activities
  10. Conduct pre trade clearance, post trade and market misconduct monitoring
  11. Consult with The company legal team on legal issues relating to mandates from institutional clients, including the drafting, review and negotiation investment management agreements
  12. Advise on regulatory issues relating to distribution and marketing of funds; consult with The company legal team on drafting, review and negotiation of distribution related agreements with business partners in China
  13. Consult with and act as office liaison with The company legal team regarding legal advice in connection with all aspects of the business activities of The company in China (e.g. investment operations, HR, IT, tenancy etc.)
  14. Keep abreast of, and provide guidance and leadership briefings on legal and regulatory changes in China affecting The company
  15. Coordinate and liaise with legal and compliance as well as business counterparts of group companies in other regions to facilitate review and set up of global service agreements or roll out of group initiatives that affect China business
  16. Assist with the preparation and maintenance of templates, regional regulatory reference documents and precedents to improve the efficiency and effectiveness of the legal and compliance function
  17. Assist on ad hoc projects when necessary


  1. Over 5 years' solid experience in legal and/or compliance profession in asset management industry, with solid experience in mainland China onshore asset management experience.
  2. Degree holder in the relevant field from a reputable university (e.g. law, finance, accounting)
  3. Previous experience in global financial industry will be an advantage
  4. Passed PRC fund qualification exams
  5. Excellent spoken and written Mandarin and English.
  6. This position is a senior role that requires strong leadership skills to be recognised as key senior management in the Shanghai office
  7. The ability to communicate effectively, both written and verbally, at all levels throughout the organisation is essential. We are looking for the right candidate to have good people skills to further promote a proactive and consultative compliance culture.
  8. A self-starter, proactive, can-do attitude and ability to work to deadlines are critical.
  9. Experience working on cross-border issues with regional teams strongly preferred