Compliance Officer

  • Not Specified
  • San Francisco, CA, USA
  • Permanent, Full time
  • Matthews Asia
  • 10 Oct 18

TITLE:                          Compliance Officer   LOCATION:                 San Francisco, CA   EMPLOYER:                Matthews Asia   Matthews Asia is an inde­pendent, privately owned investment manager head­quartered in San Francisco with subsidiary offices in London, Singapore and Hong Kong. Founded in 1991, Matthews Asia specializes in investing in Asia’s

TITLE:                          Compliance Officer

 

LOCATION:                 San Francisco, CA

 

EMPLOYER:                Matthews Asia

 

Matthews Asia is an inde­pendent, privately owned investment manager head­quartered in San Francisco with subsidiary offices in London, Singapore 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.

 

Additional information on Matthews International Capital Management, LLC, and Matthews Asia can be found at www.matthewsasia.com.

 

REPORTING RELATIONSHIPS:

The Compliance Officer will report to the Director of Sales and Distribution Compliance

 

ROLE AND RESPONSIBILITIES:

This position supports the Compliance Program for Matthews International Capital Management, LLC (“Matthews”), working closely with the Director of Sales and Distribution Compliance and helping to manage compliance responsibilities related to sales, marketing and distribution of Matthews’ products.

 

Key Responsibilities:

  • Review and provide advice and guidance on sales, client servicing, and marketing materials
  • Work closely with the Marketing and Distribution departments on their sales and marketing content and new fund launches
  • Provide guidance on regulatory and reputational risk associated with marketing and distribution
  • Work with global colleagues to help ensure consistency of materials and policy
  • Deliver annual and targeted training as needed for internal stakeholders
  • Assist with advising on product distribution issues
  • Various Marketing projects

 

Additional Responsibilities:

  • Assist with the implementation of new regulatory requirements
  • Help to ensure that effective controls are in place to meet federal laws and regulations and provide training, advice and education on how to comply with regulatory requirements and to monitor such compliance
  • Assist with special compliance projects

 

 

Qualifications:

  • Bachelor’s degree required
  • 3- 10 years of investment adviser/company regulatory compliance experience, 2+ years of sales and marketing material review
  • Familiarity with securities laws applicable to U.S. mutual fund and investment advisor advertising and sales literature including SEC rules and requirements
  • Experience with private (unregistered) funds
  • Experience with third-party distributors a plus
  • Knowledge of SEC, FINRA (and global rules a plus) regulation as it pertains to investment advisers, investment companies and client communications
  • Ability to communicate effectively across a global organization, with excellent analytical, written, verbal and organizational skills
  • Strong interpersonal and communication skills
  • Highly organized, detail oriented, self-motivated, capable of monitoring and completing a variety of projects simultaneously
  • Must be a U.S citizen or authorized to work in the U.S on a permanent basis

 

 

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.