Compliance, Asset Management Compliance, Associate, Beijing

Compliance, Asset Management Compliance, Associate/Vice President, Shanghai

GLOBAL COMPLIANCE
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

About Our Roles
This role sits in Asset Management Compliance.  Asset Management delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique.  As the Compliance officer of a local entity in Beijing, this role will manage the Compliance program on the ground, with an opportunity to work directly with senior compliance management regionally and globally.  The role requires interaction with PRC regulators, partnership with business stakeholders and also working closely with other departments across the organization, such as Legal, Financial Crime Compliance, Operations, Engineering, Internal Audit, etc.

Job Responsibilities

• Keep up-to-date with relevant regulatory/rule changes and driving the implementation of such regulatory/rule changes.
• Assist with regulatory reviews, inspections, investigations, or regulatory inquiries.
• Ensure filing of regulatory documents timely and accurately
• Identify and advise mitigations for regulatory and/or reputational risk issues.
• Provide advice to Asset Management business teams in their day-to-day business operations.
• Investigate and resolve issues from the day-to-day business operations, including working with other groups in the firm.
• Perform Compliance monitoring/investigations, as required by regulation or internal policies and procedures.
• Perform Compliance review on marketing materials or other documents, as required by regulation or internal policies and procedures.
• Handle complaints, maintain proper internal record and report to regulators as required.
• Conduct Compliance trainings
• Develop and maintain compliance policies and procedures, outlining firm policies, regulations and best practices.
• Advise and coordinate with Technology for control developments/enhancements.
• Participate in global projects as required.

Qualifications:

• Minimum 3 years of experience in Compliance, Legal, audit or other risk control functions related to investment or asset management 
• Has fund practitioner qualification 
• Risk and control focused individual with sound judgment
• Takes ownership of tasks/projects and is detail oriented
• Ability to work independently while at the same time be a proactive team player who enjoys working collaboratively
• Possess effective interpersonal and communication skills, with the ability to resolve issues, build consensus among groups of diverse stakeholders
• Ability to multi-task and work well under pressure and have a positive, hands-on, “can do” attitude and adapt to changes
• Native level expertise in Mandarin, business level fluency in English
• University degree holder

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