Compliance Analyst, Global Investment Management Firm

Job Title: Compliance Analyst, Global Investment Management Firm
Contract Type: Permanent
Location: Shanghai, China
Salary: Negotiable
Reference: 20191112_AZ_1573546345
Contact Name: Andy Zhi
Contact Email:
Job Published: November 12, 2019 16:12

Job Description

Key Responsibility
- Responsible for the general compliance work for the company, coordinating and supervising all departments to operate in accordance with the requirements of the laws, regulations and regulatory authorities;
- Ensure periodic compliance review and independent monitoring functions as required by the relevant regulatory requirements and annual compliance work plan are performed, including the provision of compliance advice to management on local regulatory compliance requirements;
- Liaise with regulatory authorities with respect to meetings, inquiries, regulatory changes, licensing, ongoing conduct and reporting requirements, and other business
initiatives; leading the local response to compliance monitoring and testing initiatives, internal audits and external regulatory inspections;
- Pay attention to information concerning regulatory developments impacting the company and provide updates to senior management in a timely manner with necessary interpretation and impact assessment;
- Develop and deliver Compliance training to enhance awareness and knowledge of applicable laws and regulatory requirements and company policies and procedures to employees;
- Review documents including products/business proposals, marketing materials, due diligence report, etc. and provide feedback on any potential compliance impact;
- Other tasks or projects as assigned.

Key Requirements
- Relevant university degree and a minimum of three years of relevant experience gained in the financial market. Fund industry background viewed advantageously;
- Good knowledge in PRC laws and regulations and other regulatory requirements from PBOC/CSRC/AMAC/CBIRC; Familiar with AMAC systems and requirements for information filing, reporting and disclosure;
- Sound understanding of the operation of international financial markets and the purpose and importance of effective regulatory oversight, risk management and corporate governance;
- Good understanding of global asset management company, knowledge of financial products/services offered by global firms;
- Ability to identify compliance risks and advise on, promote, develop and implement suitable controls, policies and procedures to effectively monitor and mitigate that risk;
- Ability to identify and advise management of changes in the regulatory and compliance environment and design and implement appropriate compliance solutions;
- Excellent oral, presentation and written communication skills; self-motivated; confidence to communicate proactively and effectively with peers and senior management; ability to manage to a set of deadlines and deliverables with limited supervision.

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