This unique opportunity is seeking a mid-level Regulatory Compliance Counsel to join its Global Compliance team based in Shanghai. This position represents a unique opportunity to support the firm globally in the context of a rapidly expanding and maturing, dynamic investment firm, working closely with our Compliance Director in Shanghai and our US CCO who work primarily in the Investment and Funds team within the Global Compliance team.
- Work collaboratively and productively with investment, compliance and legal professionals of all levels within the firm and externally to achieve successful outcomes.
- Oversee and continue to refine/enhance the Pre-Investment Committee reputational & regulatory due diligence process, comprising background checks, financial crime risk assessment, sanctions/export controls, ESG checks and AML KYC applicable to the firm's global investments, especially in China and other key APAC jurisdictions.
- Develop close working relationships with corporate intelligence firms, white collar practice, outside counsel, and consultants to increase the quality and efficiency of our due diligence process.
- Produce written memoranda to the Investment Committee on due diligence findings.
- Foster open channels of communication and collaboration with investment personnel and the various functions, such as legal, tax, risk, and finance, and demonstrate foresight to ensure timely completion of due diligence.
- Facilitate negotiations and establish positions regarding compliance provisions in deal definitive documents.
Portfolio Company Compliance
- Take ownership of and develop the post-investment portfolio management process, through which Compliance periodically oversees the regulatory and reputational risk profile of the platform of their portfolio companies
- Engage with Portfolio Company management, legal, and compliance teams to gain visibility on operations and risk areas and proactively provide support and guidance
- Work across Portfolio Companies to develop a compliance ‘ecosystem’ for best practices, problem solving, pooling expertise
- Manage across the firm's stakeholders to coordinate firmwide portfolio company engagement
- Monitor and transition Pre-Investment Committee regulatory due diligence, and assist Portfolio Company with compliance covenant implementation
- Screen investment opportunities for fund and investor compliance matters, including conflicts of interest and investment restrictions.
- Support the Conflicts Committee process, including conducting deal-related and individual-level conflicts assessment, assisting with legal interpretation, producing conflicts memoranda, and providing conflicts mitigations recommendations
- Manage compliance relationship with and reporting to the Investor Advisory Board for investments
- Produce and distribute accurate written materials with cross-functional input
- Facilitate open discussions between members of the Investor Advisory Board and the various functions, deal personnel, and senior management. As applicable, seek fully-informed consents from the Investor Advisory Board in accordance with fiduciary obligations
- Support that compliance Quarterly Reporting obligations are timely and accurately met
- Assist in maintaining compliance due diligence policies, processes and standards
- Manage the relationship and serve as a point of contact with the broader Group stakeholders, including Compliance, Risk, Audit
- Support Group initiatives while balancing regulatory considerations and the interests of the fund and its investors
- Support the implementation of and compliance with framework agreements governing the relationship between the firm and the Group
- Assist in assessing current and future applicable legal, regulatory and compliance developments in the APAC and communicating these updates to legal, compliance and investment personnel
- Assist with other day-to-day compliance matters and processes as needed
- Native Mandarin Chinese reading, writing and speaking skills required
- Legal qualifications in the US and/or China required
- Excellent written and oral English communication skills
- 4+ years of previous experience in compliance in a top tier global law firm or financial services (ideally private equity) institutions in China
- Experience investigating and addressing a wide range of corporate and operating company risk issues, particularly financial crime, data protection, cybersecurity, conduct, and ESG Energetic, independent, entrepreneurial and highly motivated with extensive experience of adopting a collaborative, team-oriented approach to spot issues and solve problems; Hands on approach is critical
- Composure to represent Compliance in front of the firm’s senior management team and to present Compliance training sessions
- Travel – occasional trips to other offices and to visit Portfolio Companies may be required