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Compliance Officer

Morgan McKinley Shenzhen, China
Posted 18 days ago Permanent Competitive
Compliance Officer
Senior Compliance opportunity from a well-known fund management company

Our client is a Sino-foreign joint venture fund management company. Headquartered in Shenzhen, with branches in Beijing and Shanghai, they provide an array of professionally managed funds for China investors, including fixed income, actively managed equities, fund of funds and separately-managed accounts, with a goal to meet investors' needs for asset allocation, risk management and investment returns.

Job Scope

This Compliance Officer will report to Director of Compliance department (department head) and be responsible for compliance review, routine monitoring, compliance inspection etc. and assist the Head of Compliance in communication and coordination with BUs.

Responsibilities
  • Review the policies and procedures of the company, and timely promote the revision and effectively implement of the P&Ps according to regulations and the company's internal control management requirements.
  • Advise employees on Compliance policies and regulatory requirements for business activities.
  • Assist the Department Head in compliance projects/initiatives and coordinate with regional team to ensure MS standard is adopted.
  • Participate in compliance risk assessment of new business and new products according to the company's business development needs and regulatory requirements.
  • In charge of routine compliance monitoring arranged by the department.
  • Formulate and conduct compliance inspection plan, and promote relevant BUs to improve.
  • Organize and carry out compliance training and provide compliance consultation.
  • Carry out other tasks assigned by the Department Head.
  • Adequate knowledge on Compliance framework and policies and procedures;
  • At least 8 years of working experiences in current position, including but not limited to compliance, internal audit, risk control, monitoring and testing, etc.;
  • Fluent Mandarin language skills (both oral and written), and originally from China mainland is preferred;
  • Familiarity with MS Investment Management business is highly preferred;
Job ID  1022171
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