Shanghai Compliance Manager Shanghai Compliance Manager …

Millennium Capital Management (Singapore) Pte Ltd
in Shanghai, Shanghai Shi, China
Permanent, Full time
Be the first to apply
Competitive
Millennium Capital Management (Singapore) Pte Ltd
in Shanghai, Shanghai Shi, China
Permanent, Full time
Be the first to apply
Competitive
Posted by:
Rebecca Lim • Human Resources Analyst
Millennium Capital Management (Singapore) Pte Ltd
Posted by:
Rebecca Lim
Human Resources Analyst
Looking for an experienced Compliance Manager well versed in Equities Trading business, based in Shanghai

Job Description Summary

The Shanghai entity will be primarily focused on supporting off shore portfolio management teams’ research capabilities on main land China companies through the hiring of analysts to provide research capabilities on shore.  The Compliance Manager will be responsible for the oversight, development and ongoing support of the compliance program to support these activities.  Those responsibilities include, but are not limited to the following:

  • Assist in the development and maintenance of the Firm’s compliance program focused on the firm’s research analyst capabilities ensuring that the activities performed in the region remain limited to the research analyst function
  • Recruit and manage a team of Compliance Officers dedicated to the Shanghai Office
  • Independent manager who will partner with regional and global compliance functions to monitor the onshore activities to ensure information is shared quickly and transparently in an effort to maintain a robust compliance program
  • Interview and conduct due diligence on pending employees
  • Perform broker on-boarding reviews for acceptance onto our approved research platform
  • Chaperone research analyst interactions with expert networks, CEO 1x1 meetings, conferences and field trips
  • Perform email and other surveillance to ensure compliance with the Firm’s Policies and Procedures
  • Develop policies and procedures that reflect changes in business, regulation, and developing views on issues
  • Work with regional and global compliance functions to prepare for and respond to inquiries and audits from regulatory authorities
  • Administer various governance functions and prepare and maintain appropriate books and records
  • Keep current on recent compliance, regulatory, and legal issues, trends, and upcoming developments
  • Coordinate with regional and global compliance functions to liaise with local counsel in Asian region on regulatory or legal issues
  • Other projects as needed

 

Qualifications/Skills Required

 

  • 10-15 years of experience, preferrably from sell-side
  • Law background is preferred
  • Must be fluent in English
  • Prior experience in Research Analyst compliance function at a large sell side organization that has dealt with maintaining a compliance program that deals with the handling of sensitive information
  • Experience working in regulated industries or multinational corporations (desired but not required)
  • Strong communication and writing skills
  • Strong analytical and problem solving skills
  • Detail oriented and organized
  • Good team player – one who is able to prioritize in a fast moving, high pressure, constantly changing environment
  • Entrepreneurial inclination – ability to work alone and act as a project manager

 

Company Overview

 

Who We Are

Millennium Management is a global investment management firm founded in 1989 that manages approximately $51 billion in assets as of April, 2021. Millennium has more than 3,600 employees with offices in the United States, Europe and Asia.

Over the last 30+ years, our mission has remained constant: to deliver the alternative investment industry’s highest quality returns to our investors, and to maintain a commitment to our principles of integrity, discipline and excellence.

What We Do

We employ a global, multi-strategy investment approach, opportunistically engaging in a broad array of trading and investing strategies across a wide group of diversified managers.

Our specialized divisions have built and continually evolve our core infrastructure platform. This enables our trading teams to pursue their unique investment strategies independently, while operating within one centrally-driven risk and operational framework.

Millennium has differentiated itself from other alternative investment management firms through our consistent ability to generate high quality returns for our investors. Millennium’s unique framework has created what we believe to be a sustainable and scalable organization aligned in partnership with our investors. Our dedication to our mission has defined Millennium as an industry leader over our 30+ year history.

Careers

Our firm harnesses the entrepreneurial drive of our people, and we strive to employ among the best in the industry. We offer an opportunity for developing one’s career while working with individuals trained in a variety of disciplines in a collegial and dynamic environment.

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