Compliance Officer

Job Description

A global well-known asset management company

Overall purpose of role

The Compliance coverage is part of the Markets Business Oversight Compliance function, which mimics the business' organisational hierarchy. As a member of the team, this role will contribute to delivering a 'best in class' partnership as part of a robust Compliance second line of defence.

Key Accountabilities

• As a member of the team, provide day to day compliance support to the businesses as a trusted partner providing best in class regulatory advice and guidance and forming part of a robust Compliance second line of defence.
• Particular focus on China securities market
• Familiar with China securities regulatory requirements in relations to investment management business, understand the control environment for investment management, asset management.
• Maintain good relationship and communication with on-shore securities regulators
• Expected to be accountable for own book of work, taking ownership of issues and responsibility for seeing matters through to delivery, with the ability to work independently or with support from team members, whilst seeking relevant input from senior partners across all relevant infrastructure and business areas to achieve innovative solutions and/or timely and high quality advice.
• The role demands a commercially aware approach while maintaining high standards of conduct

Stakeholder Management and Leadership

• Strong team player who takes the lead in building trusting relationships with peers and junior colleagues
• Ability to work on own initiative and to collaborate with and to lead others is essential. The individual should be comfortable in putting forward own opinions while respecting colleagues, recognising others' successes, and sharing challenges in order to provide support.
• Able to deal with and to lead change: the successful candidate will be dealing with a fast developing business and should be a proactive person who challenges processes and looks for improvements independently, leveraging a network of colleagues to identify and work towards common goals

Decision-making and Problem Solving

• Strong analytical skills are required, including for reviewing existing or newly proposed activities and identifying regulatory issues or control gaps.
• Intelligent and hard working individual, quick to react and escalate issues where appropriate, accepting accountability and being comfortable to challenge while also being positive and supportive of others who do so, taking challenges seriously and not allowing reprisals
• Ability to quickly understand and engage with a variety of other product areas and asset classes within a robust control environment will be an advantage.

Risk and Control Objective [This section is mandatory for all role profiles and must not be deleted]

Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Policies and Policy Standards.

Person Specification

Personal attributes essential to performing role including competencies, expertise, knowledge, and experience. Note: experience requirements must not be in the form of years (minimum or otherwise).

Essential Skills/Basic Qualifications:

• Compliance Officer with knowledge of the asset management industry
• Experience of China funds regulation, in particular in respect of fund marketing and distribution in China. Experience in UCITS, AIFMD and FCA conduct of business requirements a plus
• History of involvement in controls and fund governance, including in relation to monitoring and new fund creation

Desirable skills/Preferred Qualifications:

• Educated to degree level or with relevant experience
• Experience within an Advisory or Oversight Compliance function