Company Overview:

A leading asset management firm based in Shanghai, specializing in active investment management across the Greater China region. Our client offers a range of services, including fixed income, equity, and other investment strategies. Known for its strong focus on delivering consistent, long-term performance and adhering to high standards of regulatory compliance, the firm is committed to maintaining a robust compliance framework and ensuring regulatory adherence across all its operations.

They are now looking for a compliance professional to join their legal and compliance team, contributing to the firm's continued success and regulatory excellence.

Job Description:

• Handle licensing matters and information requests from SFC and other local regulatory authorities
• Handle regulatory and general compliance matters, for example employees’ personal dealing, compliance training and other regulatory reporting and filing
• Preparing the company's internal rules and policies in accordance with laws and regulations
• Perform day-to-day compliance works in relation to establishment, structuring, maintenance, due diligence and management of authorised funds and private funds
• Liaise with regulatory authorities (mainly the SFC) and external counsels on inquiries and on-going reporting matters, esp. investment product related matters
• Perform KYC/ CDD/ AML review and monitoring and review marketing materials
• Monitor regulatory changes and developments in relation to businesses and products in respect of the relevant jurisdictions (including HK, mainland China and EU), assess impact and advise the head of Legal and Compliance
• Provide support on ad hoc projects as requested.

Qualification requirements:

• Degree in Law, Finance or Accounting or related disciplines
• Minimum 3-5 years of compliance experience in financial institutions and/or regulatory bodies with at least 2-3 years specialised in asset management business; experience in legal matters is a plus
• Strong knowledge of SFC regulations, AML legislation and other relevant regulatory requirements
• Hands-on experience in dealing with regulatory bodies and compliance issues and experience in developing compliance framework and policies