Senior Manager - Investment Compliance Department

Job Title: Senior Manager - Investment Compliance Department
Contract Type: Permanent
Location: Shanghai, China
Salary: Negotiable
Reference: 20200318_1589855708
Contact Name: Andy Zhi
Contact Email:
Job Published: May 19, 2020 10:35

Job Description

Title: Senior Manager - Investment Compliance Department

Location: Shanghai

Reports to: Head of Investment, Chief Compliance Officer/General Inspector of AMC


Reporting to the Head of Investment Department and Chief Compliance Officer/General Inspector of AMC, your role is to be actively engaged in providing compliance support and regulatory support to the investment management teams, including fund managers, research analysts, trading desks, corporate finance and their respective support groups, serving as self-control point of Investment Department and escalating any potential compliance risks within Investment Department to Head of Investment and Chief Compliance Officer of AMC.


  • Be a key role within the Investment Department to provide advice, guidance and compliance support to investment management functions, particularly portfolio managers, traders and corporate finance teams on various day-to-day
  • Actively support development, review and implementation of changes to policies and procedures related to investment management functions to ensure compliance with applicable
  • You are required to coordinate and support the implementation of internal policies and procedures applicable to the investment management
  • Pay full attention to the compliance of daily operation across investment management functions, promptly report and escalate compliance risks in accordance with the AMC policies and procedures once they are detected.
  • Be a representative of the Investment Department to coordinate with risk, compliance or internal audit teams if any remediation actions need to be taken by Investment
  • Keep abreast of, monitor, and analyze regulatory trends and changes in various rules and regulations impacting the investment management functions and work closely in advising the management team, including internal stakeholders, of the impact of such trends and changes.
  • To collaborate and partner with risk, legal, compliance and other oversight teams to represent the investment management functions on various regulatory and policy-related discussions.
  • Collaborate actively with investment management functions and work closely with compliance team and other oversight teams to provide compliance and regulatory advice and support for the development of any new investment product, business initiatives and any regional/global projects as may be required from time to time.
  • Provide support on various regulatory inquiries, particularly related to investment management activities.
  • Contribute to the development of compliance training programmes across the investment management function.
  • Provide a high-quality timely service to various internal stakeholders.
  • Actively participate in relevant investment and compliance projects and range of other projects or tasks as may be required from time to time.


  • 6+ years' experience in a Compliance department within a large, global asset management firm or other comparable or relevant
  • Strong knowledge of buy-side investment processes and understanding of fixed income, equities and their derivatives
  • Good understanding of investment management model and process and able to identify, prevent and report investment-related compliance risks;
  • CFA or equivalent qualification preferred, PRC fund qualification required after onboarding
  • Ability to work independently
  • Ability to build relationships of trust with senior management in the business and from Compliance and other oversight and control
  • Positive team player, ability to be flexible and adapt to a changing environment
  • Strong analytical skills, problem-solving ability and attention to detail, with Investigative and questioning nature and ability to make sound decisions
  • Strong self-motivation, organisation, prioritisation, time management, used to adapt to unforeseen changes
  • Excellent interpersonal skills; experienced communicating and consulting at all levels especially senior management both verbally and in writing
  • Strong IT skills including Microsoft Office, particularly Word, Excel and Outlook; Bloomberg and basic Macro would be an advantage

Get similar jobs like these by email

By submitting your details you agree to our T&C's