合规专家/合规高级总监

About the role

Establish and improve the compliance management system for an overseas asset management company, ensuring that internal management systems, investment decision procedures, and business operation processes are legal and compliant.

Key responsibilities

• Establish and improve the compliance management system, ensuring company internal management systems, investment decision procedures, and business operation processes are legal and compliant
• Develop and optimize compliance-related management systems, strategies and processes, and timely update compliance systems to meet regulatory and client compliance requirements
• Conduct compliance reviews, risk identification, assessment and response for major company decisions, new products, and new business proposals
• Perform compliance reviews on proposed investment projects and contracts signed by the company with other parties to ensure compliance with laws, regulations and internal company policies
• Continuously monitor changes in international regulatory policies, research and interpret relevant laws, regulations and policies, assess their impact on company business, and provide corresponding management recommendations
• Provide legal training and consulting services to various internal departments
• Independently perform inspection, evaluation, reporting and advisory functions on the implementation of internal control systems to ensure company operations comply with company policies and compliance regulations
• Organize regular and irregular internal inspections to conduct compliance reviews and monitoring of company business and operations, and prevent operational risks
• Foster compliance culture and comprehensive risk management philosophy, organize compliance training to enhance employee compliance awareness
• Actively cooperate with relevant regulatory authorities' inspections and inquiries, and organize company reporting and filing with local regulatory departments according to regulatory requirements

About you

• Bachelor's degree or above, with preference for law, finance, economics or related majors
• Extensive compliance work experience in the financial industry with 10 or more years of work experience
• Overseas work experience or familiarity with overseas asset management business compliance and regulatory policies for licenses 1, 2, 4, 9
• Related RO experience preferred
• Strong communication and coordination abilities
• Strong analytical and problem-solving abilities
• Honest, trustworthy, and strong sense of responsibility
• Excellent cross-departmental coordination and collaboration abilities