Compliance Manager Compliance Manager …

Morgan McKinley
in Shanghai, Shanghai Shi, China
Permanent, Full time
Last application, 10 Oct 21
Competitive
Morgan McKinley
in Shanghai, Shanghai Shi, China
Permanent, Full time
Last application, 10 Oct 21
Competitive
Compliance Manager
Our client is an international asset manager based in Shanghai

Responsibilities:
  • Liaise with regulators such as China Securities Regulatory Commission and Asset Management Association of China
  • Provide compliance advice for the products to be launched
  • Review marketing materials and financial promotions to be distributed and ensure adherence to relevant local regulatory requirements and industry best practices
  • Prepare and compile regulatory compliance reports to regulators, auditors and/or clients
  • Implement local compliance monitoring programs for business activities in a timely and efficient manner
  • Analyze and report forensic testing results
  • Update local compliance manuals, policies, and procedures when required
  • Support regional compliance risk assessments
  • Participate in compliance projects and initiatives, other business projects to support our business partners
Requirements:
  • Bachelor's degree
  • Minimum 6 years relevant compliance experience in the financial services industry
  • Practical experience in asset management companies, regulatory authorities and/or audit firms, and had experience launching QDLP in China is highly preferred
  • Knowledge of CSRC and AMAC regulations and other regulatory requirements in China
  • Solid knowledge of Microsoft Office software (essential) and fund management systems (preferable)
  • Proficient in written and verbal English and Chinese
  • Solid analytical skills
  • Meticulous and attention to detail
  • Proactive and independent
  • Ability to perform multiple tasks in a fast-paced team environment
  • Strong organizational and time management skills
  • Passed the Fund Practitioner Qualification Exam [基金从业资格考试]
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