Chief Compliance Officer

  • Not Specified
  • San Francisco, CA, USA
  • Permanent, Full time
  • Matthews Asia
  • 18 Mar 19

TITLE: Chief Compliance Officer (“CCO”) of the Matthews Asia Funds             LOCATION: San Francisco, California   THE COMPANY: Matthews International Capital Management, LLC (“Matthews Asia”)   Matthews Asia is an inde­pendent, privately owned investment manager head­quartered in San Francisco with subsidiary

TITLE: Chief Compliance Officer (“CCO”) of the Matthews Asia Funds             LOCATION: San Francisco, California

 

THE COMPANY: Matthews International Capital Management, LLC (“Matthews Asia”)

 

Matthews Asia is an inde­pendent, privately owned investment manager head­quartered in San Francisco with subsidiary offices in London, Singapore, Shanghai and Hong Kong. Founded in 1991, Matthews Asia specializes in investing in Asia’s equity and fixed income markets for institu­tions, intermediaries and retail investors worldwide. For over 25 years our bottom-up, active investment approach has focused on identifying the most attractive long-term growth opportunities in Asia’s diverse markets. Our portfolios typically feature low turnover rates and high active share, with holdings that differ significantly from their benchmarks. Our long-term perspective and culture of independent thinking facilitate our delivery of a consistent and distinc­tive value proposition to our clients and partners.

 

REPORTING RELATIONSHIP:  

The position will report directly to Matthews Asia’s Global Head of Risk and Compliance and also to the Board of the Matthews Asia Funds.

 

ROLE AND RESPONSIBILITIES:

As CCO of the Matthews Asia Funds (‘Funds’), the position will be responsible for:

  • Working on a variety of compliance-related matters related primarily to Matthews Asia’s U.S. registered mutual funds but also on private funds, closed-end funds and separately-managed accounts;
  • Overseeing, administering and strengthening the Compliance program pursuant to Rule 38a-1 of the Investment Company Act of 1940 and Rule 206(4)-7 of the Investment Advisers Act of 1940;
  • Ensuring all activities are compliant with applicable federal and state laws, SEC and FINRA rules and regulations, state regulations, internal policies and procedures, and applicable industry standards and practices;
  • Identifying gaps and areas of vulnerability in the Compliance program and implementing remedial action as needed;
  • Assisting the Global Head of Risk and Compliance with the Adviser’s Compliance program and Enterprise Risk projects; and
  • Supervising and managing personnel.

 

EXPERIENCE, SKILLS, AND QUALIFICATIONS:

Experience:

  • Minimum 10 years in a senior Compliance role at an asset management firm
  • Well-rounded, holistic experience across various Compliance areas (e.g., investment guidelines monitoring, Code of Ethics, conflict of interest matters, sales and marketing, policies and procedures, social media, training, due diligence, regulatory exams and audits)
  • Experience in developing, implementing and enforcing a compliance program to ensure adherence to SEC, FINRA, state laws and regulations
  • Experience working with Fund Boards, presenting to senior management, and participating in industry forums and groups
  • Experience managing and leading a team
  • Enterprise risk experience (e.g. developing and implementing a risk assessment program) preferred 

 

Skills:

  • Ability to interpret and advise on a broad range of regulatory issues on a variety of products and services
  • Ability to produce written materials (e.g., Compliance reports, policies, procedures) that are coherent, accurate, and precise
  • Ability to think strategically, critically and proactively across a diverse set of matters and distill complex issues into simple, concise components
  • Ability to articulate thoughts and communicate in an engaging, persuasive and succinct fashion and lead/moderate discussions effectively
  • Strong relationship management, influencing, and negotiation skills
  • Exceptional problem-solving, decision-making and analytical skills
  • Strong attention-to-detail and organizational skills
  • Ability to take initiative, be a proactive learner and work well under pressure and handle multiple priorities while maintaining a positive and productive attitude
  • Ability to handle confidential information and matters with discretion
  • Demonstrated ability to lead a team and to help oversee personnel
  • Planning and scheduling skills to meet organizational and regulatory deadlines and requirements
  • Strong work ethic, sense of responsibility, commitment to productivity and proven ability to get things done

 

Qualifications:

  • Minimum Bachelor’s Degree in Finance, Accounting, Law or Business-related field
  • Expertise on the Investment Advisers Act of 1940, the Investment Company Act of 1940 and other relevant laws, rules and regulations
  • Must be a U.S citizen or authorized to work in the U.S on a permanent basis

 

THE CULTURE

We understand the importance of going into a great place to work every day and culture is incredibly important to everyone at Matthews Asia. We take pride in the positive and respectful dynamics throughout the firm. Before an offer is made, you will meet with members of our active Culture Committee to allow you to have a more casual meeting to ask questions about the company to make sure that it is the best fit for long term success and enjoyment for all.

 

Ideal candidates possess a high level of integrity, initiative, client focus and enjoy working with a diverse team.

 

Matthews International Capital Management, LLC is an equal opportunity employer. The Company does not unlawfully discriminate on the basis of race, color, religion, religious creed (including religious dress and grooming practices), age, national origin, citizenship, ancestry, political activity or affiliation, marital status, sex, sexual orientation, gender, gender identity, gender expression, physical or mental disability, medical condition as defined under applicable law, genetic information, military or veteran status, pregnancy, childbirth and related medical conditions, taking or requesting statutorily protected leave, or any other characteristic protected by federal, state, or local laws or ordinances.

 

Matthews Asia participates in the E-Verify program as required by law.