Senior Compliance opportunity from a global leading hedge fund
Key Accountabilities * As a member of the team, provide day-to-day compliance support to the businesses as a trusted partner providing best-in-class regulatory advice and guidance and forming part of a robust Compliance second line of defense. * Particular focus on China securities market * Familiar with China securities regulatory requirements in relation to investment management business, understand the control environment for investment management, and asset management. * Maintain good relationships and communication with on-shore securities regulators * Expected to be accountable for own book of work, taking ownership of issues and responsibility for seeing matters through to delivery, with the ability to work independently or with support from team members, whilst seeking relevant input from senior partners across all relevant infrastructure and business areas to achieve innovative solutions and/or timely and high-quality advice.
Stakeholder Management and Leadership * Strong team player who takes the lead in building trusting relationships with peers and junior colleagues * Ability to work on own initiative and to collaborate with and lead others is essential. The individual should be comfortable in putting forward own opinions while respecting colleagues, recognizing others' successes, and sharing challenges in order to provide support. * Able to deal with and lead change: the successful candidate will be dealing with a fast-developing business and should be a proactive person who challenges processes and looks for improvements independently, leveraging a network of colleagues to identify and work towards common goals Decision-making and Problem Solving * Strong analytical skills are required, including for reviewing existing or newly proposed activities and identifying regulatory issues or control gaps. * Intelligent and hard-working individual, quick to react and escalate issues where appropriate, accepting accountability and being comfortable to challenge while also being positive and supportive of others who do so, taking challenges seriously and not allowing reprisals * Ability to quickly understand and engage with a variety of other product areas and asset classes within a robust control environment will be an advantage.
Risk and Control Objective Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework, and internal Policies and Policy Standards.
Person Specification Personal attributes essential to performing role including competencies, expertise, knowledge, and experience. Note: experience requirements must not be in the form of years (minimum or otherwise).
Essential Skills/Basic Qualifications: * Compliance Officer with knowledge of the asset management industry * Experience of China funds regulation, in particular in respect of fund marketing and distribution in China. Experience in UCITS, AIFMD and FCA conduct of business requirements a plus * History of involvement in controls and fund governance, including in relation to monitoring and new fund creation
Desirable skills/Preferred Qualifications: * Educated to degree level or with relevant experience * Experience within an Advisory or Oversight Compliance function