Chief Compliance and Risk Officer, China

Job Title: Chief Compliance and Risk Officer, China
Contract Type: Permanent
Location: Shanghai, China
Salary: Negotiable
Reference: 20200335_1598007691
Contact Name: Blaire Xu
Contact Email:
Job Published: August 24, 2020 11:30

Job Description

Acting as the Chief Compliance & Risk Officer for fund management company located in Shanghai, China with a direct reporting line to the Board. Manages a dynamic compliance, legal and risk environment by developing and maintaining a comprehensive compliance and risk program for Vanguard's public funds business in China. Works directly with the Head of Legal and Compliance, Asia and as part of an integrated regional and global legal and compliance team. Develops and maintains business unit relationships across the region. Identifies and responds to ongoing regulatory changes and implements required policies and procedures, inclusive of appropriate operational, risk and compliance oversight.



  • Acts as the Chief Compliance and Risk Officer for Vanguard's public funds business and manages the Legal, Compliance & Risk team and provides guidance, training and motivation as necessary to develop the team. Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
  • Develops and implements a compliance and risk infrastructure for China's public funds business. Serves as senior management to review, supervise, and inspect the compliance of the public fund company and be directly accountable to the board of directors of the public fund company. Oversees design, implementation, execution, and maintenance of Vanguard's compliance procedures, manual, and compliance monitoring program, including the development of compliance standards and policies. Oversees compliance and risk testing, as well as, required internal audit program.
  • Manages operational efficiency by setting measurable goals by using internal and external resources accordingly. Works closely with Vanguard's Global Legal and Compliance professionals as part of an integrated service, to ensure consistency in compliance practices. Oversees and provides training (at times in conjunction with HR) to increase the level of compliance awareness.


  • Undergraduate degree or an equivalent combination of experience. Tertiary qualifications in law and/or economics/commerce preferred.
  • Minimum of ten years of compliance experience within a financial services function, with five or more years of management experience.
  • Certified by China Securities Regulatory Commission (CSRC) after passing an examination for compliance management personnel or qualification exam for legal professionals.
  • Demonstrated ability to function in high volume/fast-paced environment working with multiple and diverse responsibilities.
  • Excellent leadership and interpersonal skills that command the respect of business partners.
  • In-depth knowledge of compliance and regulatory laws in China relating to public funds with experience dealing with the CSRC.
  • Demonstrated planning and analysis skills.
  • Excellent written and verbal communication skills.
  • Excellent organizational skills, attention to detail and ability to work independently.