Compliance Officer

Job Summary

We are a highly successful international quantitative investment management company seeking to hire a Compliance role, who is to perform the compliance function for our WFOE in Shanghai.

Key Responsibilities and Accountabilities:
 

  • Drafting standard documents, formulating and updating compliance policies and procedures.
  • Maintaining contract databases; handle the document management system for proper record keeping purposes. 
  • Monitoring the firm’s practice in the Greater China region to ensure all functions are compliant with relevant rules and regulations at all times.
  • Reviewing fund contracts and agreements with service providers.
  • Liaising with external service providers such as compliance firms.
  • Responding to investor queries.
  • Providing verbal and written compliance advice to various departments of Winton across a wide range of matters.
  • Conducting compliance review of client on-boarding assessments.
  • Assisting with the coordination of regulatory audits or reviews.
  • Producing management information and responding to inquiries from senior management and company headquarter’s legal and compliance team.
  • Translations of contracts/agreements/policies when necessary.

 

 

Requirements:

 

  • Bachelor degree in law, economics or finance related discipline, master degree is preferred.
  • At least 4 years’ compliance experience;
  • Proven delivery of clear, succinct compliance advice.
  • Proactive, a strong common sense and excellent interpersonal skills.
  • Attention to detail, organised and possess strong language skills (both Chinese and English).
  • Financial services, commodity trading and asset management experience.
  • Knowledge of general compliance concepts and processes; experience with the Hong Kong (SFC) regulatory regimes a plus.