Investment Compliance

Job Title: Investment Compliance
Contract Type: Permanent
Location: Shanghai, China
Salary: Negotiable
Reference: 20200324_1591960327
Contact Name: Andy Zhi
Contact Email:
Job Published: June 12, 2020 19:12

Job Description

Reporting to the Compliance Head and Chief Investment Officer in China and working within both Compliance team and Investment team, the successful candidate will be responsible for providing local leadership as it relates to the investment compliance function in China, predominantly involving compliance oversight of China investment management teams operating in China.

This role requires frequent and ongoing communication with the China Investment Teams and coordination of various other functions within the company.


  • Documenting, implementing and maintaining the investment compliance monitoring program for each China Investment Team, including the ongoing monitoring of each China Investment Team's adherence to applicable guidelines, laws, regulations and rules.
  • In conjunction with Risk team and, in particular, ensuring the implementation of a robust framework for monitoring the compliance of each account managed in China with its investment guidelines and restrictions, as prescribed by Applicable Laws, the management agreement, the constitutive document and/or Investment Policies; including reviewing, interpreting, documenting, coding and testing new/revised investment guidelines and restrictions in the relevant compliance monitoring system(s), clearing pre and post-trade alerts and warnings, and regular ongoing interaction within the company
  • Keeping abreast of and reviewing applicable laws and providing appropriate guidance to the China investment teams on the relevance and impact of such applicable Laws.
  • Drafting, implementing and maintaining investment policies to reflect applicable laws and other internal policies and procedures, and providing guidance and training on such investment policies to relevant employees.
  • Working with the China Teams and Regional team, identify, develop and implement compliance technology and automated processes in order to assist each China Investment team in adhering to applicable Laws.
  • Conducting due diligence on and ongoing monitoring of third parties to which functions related to an investment team or its business have been delegated, including periodic audits, reviewing reports, summarizing results of oversight activities and engaging in the day to day communications with such third parties.
  • Identifying, reviewing, escalating and ensuring rectification of process/control weaknesses, including but not limited to investment compliance breaches and/or exceptions arising from the investment compliance monitoring program. This will involve notifying responsible owners and providing sufficient oversight to ensure the issue is managed to completion.
  • Handling routine audits and regulatory examinations including investment compliance aspects, including the production of testing results and other documentation, day-to-day interaction with the internal and external auditors and regulators, and, in conjunction with Legal, preparation of draft responses to audits requests or examination letters.
  • Partner with colleagues in the Risk team and support in identifying and investigating specific risk events related to a breach of guidelines. This will involve undertaking 'deep dive' reviews on significant and complex events to provide ongoing recommendations to enhance the control environment.


  • University Degree in Accounting, Business, Economics, Finance or Law preferred
  • At least 5 years of relevant working experience in asset management compliance-related area
  • Investment compliance, fund compliance, front office trading, operations or Audit experience highly desirable
  • Experience working with Hundsun O32, Aladdin, and/or Charles River for investment compliance strongly preferred
  • Sound understanding / knowledge of mutual fund regulations strongly preferred
  • Analytical and detail-oriented
  • Commercial, pragmatic and solution-oriented
  • Strong communication skills (written and spoken fluency in Mandarin and English required)
  • Mature interpersonal skills with a confident, engaging and outgoing personality
  • Self-motivated individual, with the ability to thrive in a dynamic and fast-paced environment, and proven ability to work successfully both independently and as part of a team

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