Compliance Advisory Compliance Advisory …

Morgan McKinley
in Shanghai, Shanghai Shi, China
Permanent, Full time
Be the first to apply
Competitive
Morgan McKinley
in Shanghai, Shanghai Shi, China
Permanent, Full time
Be the first to apply
Competitive
Compliance Advisory
Our client is a global top-tier fund management company

Key Responsibilities
  • Advise on the regulatory requirements for WFOE AMC business activities and products
  • Follow up with regulatory developments, keep internal stakeholders posted of the latest regulatory changes and provide gap analysis where applicable
  • Review WFOE AMC related marketing material and provide compliance sign-off
  • Support on compliance monitoring work where applicatable
  • Support on the Data Protection analysis and advisory work and participate in data protection related projects
  • Participate in regulatory meetings and support coordination
  • Coordinate feedback and provide input on consultation papers on regualtory changes
  • Coordinate or support regulatory filings for WFOE AMC and regulatory reporting
  • Track the licensing status both at corporate level and individual level
  • Keep Compliance Breaches/Incidents log
  • Support on providing compliance trainings to WFOE AMC staff where necessary
  • Responsible for official documents in and out of WFOE AMC
Experience and Qualifications Required
  • PRC fund industry licence holder
  • 6-12 years of working experience as a compliance officer in PRC capital market
  • Work experience in Asset Management industry and knowledge in mutual fund management space is a must
  • Good communication skills in English and Chinese are essential
  • Responsible and committed
  • Strong problem-solving ability and attention to details
  • Good inter-personal and coordination skills
  • Appreciate diversity in a multinational firm and being inclusive
  • Ability to prioritise and focus on key tasks
  • Ability to work in fast paced environment
  • Absolute commitment to integrity
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