Compliance Officer Compliance Officer …

Matthews Asia
in Shanghai, Shanghai Shi, China
Permanent, Full time
Last application, 20 Nov 21
Matthews Asia
in Shanghai, Shanghai Shi, China
Permanent, Full time
Last application, 20 Nov 21
You will manage Matthews Asia's compliance program in China.

THE COMPANY: Matthews International Capital Management, LLC (“Matthews Asia”)

Founded in 1991, Matthews Asia is an independent, privately owned investment manager headquartered in San Francisco, with offices in London and Hong Kong. With 160+ employees worldwide, we specialize in investing in Asia and the emerging markets.  Our team of more than 40 investment professionals use a bottom-up, active investment approach to identify the most attractive long-term growth opportunities in the region. As of July 31, 2021, we manage almost $30 billion in assets on behalf of institutions, intermediaries and retail investors worldwide.

Additional information on Matthews International Capital Management, LLC and Matthews Asia can be found at


We are seeking a mid- to-senior level compliance professional to manage our Shanghai compliance program including:

  • Develop and enhance compliance policies and procedures
  • Serve as the primary interface with Chinese regulators, self-regulatory agencies and other local associations
  • Set up and oversight of QDLP program
  • Monitor and oversee distributors, administrator and other business partners
  • Compliance monitoring reviews and testing
  • Work with portfolio managers, operations and trading desks to resolve potential investment compliance issues
  • Monitor portfolio investment compliance using automated systems on both a pre and post trade basis. Preference for candidates with experience with the Charles River Development Investment Management System (CRIMS), and familiarity with the regulatory framework for both United States registered mutual funds and Luxembourg registered UCITs
  • Assist in compliance training and email surveillance
  • Assist with pre-clearance of PA trading requests and other Code of Ethics matters
  • Assist with OFAC screening checks
  • Assist with internal gate keeper process


  • Bachelor’s degree required
  • Minimum of 10 years of experience in fund/advisory compliance
  • Native Mandarin speaker
  • Knowledge of the global regulatory environment and ability to communicate effectively across a global organization, with excellent analytical, written, verbal and organizational skills
  • Previous working experience as a regulator or in audit/legal/financial industry, familiarity with US and European regulatory and compliance environment for funds, advisers and broker-dealers
  • Must be self-directed and self-motivated and possess a strong work ethic, team orientation and high ethical standards
  • Excellent spoken and written English communication skills
  • Experience advising and partnering with heads of business and working with Boards of Directors is preferred
  • Experience working in an international asset management company is desired
  • Solid leadership and team building experience
  • Strong financial and strategic acumen


Matthews International Capital Management, LLC is an equal opportunity employer. The Company does not unlawfully discriminate on the basis of race, color, religion, religious creed (including religious dress and grooming practices), age, national origin, citizenship, ancestry, political activity or affiliation, marital status, sex, sexual orientation, gender, gender identity, gender expression, physical or mental disability, medical condition as defined under applicable law, genetic information, military or veteran status, pregnancy, childbirth and related medical conditions, taking or requesting statutorily protected leave, or any other characteristic protected by federal, state, or local laws or ordinances.


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