Oversee investment compliance including risk management. Establish and continuously improve compliance and risk control framework, policies, procedures, and internal controls for investment and trading.
Providing high quality compliance advice and strategic thought-partnership to investment and trading function and synthesize complex compliance issues
Demonstrate a commercial approach and sound risk assessment for new business initiatives, such as investment strategy adjustments, expansion of trading instruments; provide professional analysis, and deliver compliance support for business decision-making.
Contribute to provide advice on regulatory matters and interpretation of regulations and exchange rules.
Assist the Chief Compliance Officer in compliance projects/initiatives and team oversight.
Partner with and support Chief Compliance Officer to manage regulatory relationships.
In charge of compliance monitoring and inspection plan arranged by the Compliance department.
Organize and carry out compliance training and provide compliance consultation to all other departments.
职位要求
10 years of compliance work experience in FMC, asset management, securities firm or regulator. Experience in foreign owned firms is preferred.
Capability of assessing compliance risks especially in trading and investment area.
Solid experience in project management. Experience in team management is a plus.
Excellent communication and coordination skills.
Strong ownership mindset with business consciousness.
Independent and logical thinking and problem-solving capability.
Confident and professional style to handle compliance issues.
Proficiency in English, both in writing and in oral.
Fund practitioner qualification.
