Compliance Monitoring Manager Compliance Monitoring Manager …

Morgan McKinley
in Shanghai, Shanghai Shi, China
Permanent, Full time
Last application, 12 Dec 21
Morgan McKinley
in Shanghai, Shanghai Shi, China
Permanent, Full time
Last application, 12 Dec 21
Posted by:
Emily Zhang • Recruiter
Posted by:
Emily Zhang
Our client is a global top-tier asset manager with an FMC license based in Shanghai. Currently, they are looking for a Senior Compliance Monitoring Manager, who's familiar with local Fund Management company practice .

Key Responsibilities

Assurance and Oversight

  • Actively supporting the development and execution of a compliance monitoring framework to ensure delivery of high-quality monitoring and assurance across products, business lines, and distribution channels for China in an efficient, effective, and globally consistent manner.
  • Conducting risk-based, limited focus and regular ongoing testing/monitoring.
  • Monitoring  trading and other investment activities and investigates exceptions and incidents which include, but not limited to, best execution, fair allocation, market misconduct, information barriers, conflicts of interest and so forth.
  • Investigating, analysing, and providing resolution to breaches and investment processes.
  • Conducting Portfolio Compliance Monitoring work for China, including set up rules, review guidelines, review limits, prepare daily monitoring report, and liaise with custodian bank for rule monitoring.
  • Prepare or support relevant regulatory reports relating to fair trading and abnormal trading monitoring, such as support compliance advisory staff on quarterly supervision and audit report, annual report, and regular fund report.
  • Conduct Electronic Communications Surveillance for China, such as quarterly compliance inspection on telephone record, CCTV record, QQ, wind, email, and Internet; and prepare/support on quarterly compliance report's part of Electronic Communications Surveillance.
  • Assist Compliance advisory to provide compliance training for PMs, traders about setting rules
  • Participating in more in-depth monitoring reviews, sometimes covering complex areas of the business, providing assurance that business and investment controls align with regulatory requirements.
  • Ensuring all working papers are properly prepared, suitable, and clearly presented recommendations made when necessary and quality reports issued to senior management.
  • Ensuring the timely and appropriate escalation of issues and tracking actions to ensure effective and timely implementation.
  • Actively support creating and ongoing maintenance of ‘regulatory footprint’ and a consistent regulatory risk assessment methodology for the China business and investment activities.
  • Maintaining an appropriate level of technical understanding of relevant regulation and keeping abreast of regulatory changes and developments and upcoming changes in regulatory and market practices.
  • Conduct investigations and other ad-hoc projects as required
  • Participate in key business as usual activities.
  • Produces metrics for senior management information


  • Building relationships with the relevant business areas and other oversight groups, particularly in relation to the planning and implementation of reviews.
  • Co-ordinating with broader compliance teams for monitoring work carried out in other overseas offices, where appropriate.
  • Participates and contributes positively in various business initiatives and ad-hoc projects.
  • Foster a cohesive, creative, and efficient working environment within the team in which people can do their best work.

Experience and Qualifications Required

  • 10+ years’ experience in compliance, audit and/or operations functions within asset management industry.
  • Good understanding of trading, trade operations and fund accounting. Preference will be given to candidates with compliance and/or audit experience in portfolio management.
  • Knowledge of equities, fixed income and derivatives instrument would be an added advantage
  • Good IT skills including Microsoft Office, particularly Word, Excel and Outlook; knowledge of Hungsun systems (or similar compliance monitoring tools).
  • Business-level verbal and written English communication skills would be essential. Candidates with bilingual skills would be preferred.
  • Positive team player as well as the ability to work on their own initiative
  • Good analytical skills, problem-solving ability and attention to detail
  • Investigative and questioning nature
  • Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes
  • Excellent inter-personal skills
  • Ability to learn quickly and make decisions that are reasonable and logical
  • CFA, FRM holder preferred


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