Compliance Officer

Job Description -

The successful applicants for these positions will be responsible to ensure that activities of Sanne entities that are licensed and/or incorporated in Shanghai are undertaken in accordance with the regulatory and statutory requirements and in accordance with Group policy

Key responsibilities -

• Will be responsible to assist the Regional Head of Compliance with the implementation and enforcement of the Global Compliance Strategy & Programme in APAC.
• Will be reporting to the Head of Compliance in China to ensure that the Shanghai Office is fully compliant with relevant laws and regulations (implementation, periodic review and update of Compliance Policies for the SANNE/APEX entities in Shanghai and APAC (as appropriate) to include any updates in group policy and local regulation)
• Will act as MLRO/Deputy MLRO as appropriate and DPO
• Provide support and guidance to the senior management and Business in Shanghai and APAC (if applicable) to ensure that regulatory risk, including Money Laundering and Terrorist Financing is appropriately and adequately managed. Advise on AML due diligence, PEP, and sanction checks on client and investor files
• Perform horizon scanning and analyze proposed legislative and regulatory developments to monitor impact and conformance with the applicable laws and regulations
• Assist in developing and reviewing the Compliance systems and controls to ensure they remain up-to-date and meet current statutory and regulatory requirements, which includes enhancing the controls and procedures where necessary.
• Implement and/or follow up on recommendations made by internal or external audits and the regulators, regarding compliance risks.
• Ensure adequate arrangements in China for Compliance awareness and training, in line with current legal and regulatory requirements.
• Assist and provide Compliance advices/services to Clients as directed (such as Cayman funds) gradually transiting to the Second Line of Defense.

Key Requirements –

• 3 – 5 years of experience in Similar profile.
• Industry recognized AML & Compliance qualification (ACAMA certification will be helpful)
• Sound understanding of multijurisdictional financial services regulation and AML guidelines
• Knowledge and experience in alternative asset and corporate administration services.
• Understanding of global corporate structures.
• Ability to communicate, engage and build relationships across the organization and externally

Additional information:
We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation. Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

If you are looking to take that next step in your career and are ready to work for a high performing organisation, alongside talented people who take pride in delivering great results, please submit your application and we look forward to hearing from you.

Personal data provided by job applicant(s) will be used for recruitment purposes only and will be treated strictly confidential. Such personal data can be accessed by different Apex stakeholders within and out of China for the consideration of the job application hereunder. Application made by the job applicant(s) constitutes the irrevocable consent of the job applicant for her/his personal data to be used by Apex stakeholders within or outside China for the purpose of this recruitment.