Compliance Associate/ Manager
- Shanghai
- Permanent
- Full-time
- Assist and coordinate registration and filing for the Company and the private securities funds in compliance with applicable laws and regulations.
- Maintain and enhance compliance frameworks, ensuring adherence to regulatory requirements and internal policies.
- Monitor and ensure private securities funds operate in full compliance with applicable laws and regulations, and corporate policies.
- In collaboration with the Group's Compliance Team, monitor and ensure compliance with applicable laws and regulations related to cross-market access programs (e.g. QFII, QDII, Stock Connect).
- Actively coordinate to fulfill self-inspection or inspection requirements from regulatory authorities and industry associations, prepare inspection materials and develop actionable mitigation plans, etc.
- In collaboration with the Group's Compliance Team and Risk Team, conduct compliance and risk assessments, identify market/trading/operational risks, and develop actionable mitigation plans.
- Address and respond to compliance inquiries from internal teams, brokers, and regulatory authorities.
- Deliver compliance training programs to enhance overall compliance awareness.
- Work closely with and support the Group's Compliance Team.
- Review contracts/agreements with external parties and provide compliance support to the business development activities in China.
- Keep abreast of the legal and regulatory changes and advise the Group's Compliance Team and other relevant stakeholders as appropriate.
- Other tasks as assigned from time to time.
- University graduate or equivalent degree from a reputable university, preferably in Law or a related field.
- AMAC qualification is a must.
- Minimum three years of experience in private securities funds, asset managers, or a related sector in China.
- Strong knowledge of exchange trading rules, fund compliance, and regulatory requirements.
- No history of compliance violations or regulatory breaches.
- Familiarity with cross-market access regimes (e.g., QFII, QDII, Stock Connect).
- Knowledge of Civil Law, Company Law, and related legal frameworks is a plus.
- Native Mandarin fluency and strong English communication skills (written and verbal).
- Dynamic and collaborative work environment
- A flat management structure, where everyone's voice is valued
- Work life balance within a multi-cultural environment
- Attractive benefits package with discretionary bonus
- Opportunity to travel to our headquarters in Hong Kong