Location: Shanghai, China

Key Responsibilities:

• Regulatory Implementation: Promote the implementation of regulatory requirements within the Investment/Research/Trading teams and provide input on procedures related to investment, research, and trading operations.
• Related-Party Management: Maintain the list of product-related parties, conduct pre-approval reviews of related-party transactions, and submit a summary of such transactions to the Board.
• Ongoing Monitoring: Conduct monthly post-monitoring, including centralized mobile phone management, authorization management, investment decision-making committee reviews, and FM System Access Request reviews. Identify potential risks and recommend mitigation strategies.
• Advisory: Provide compliance support to the Investment/Research/Trading teams by collaborating with compliance team, identify potential risks and operational issues at the front line, and promptly issue alerts and corrective actions.

 

Requirement

• Bachelor degree or above with major in finance, risk, investment related areas 
• More than 3 years of working experience in an asset manager, securities firm, in any of the functions such as investment research, compliance, risk control, etc. 
• Outstanding communication and collaboration skills, a good team player
• AMAC qualification obtained

 

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We are looking for an experienced investment compliance candidate for AMC to be based in Shanghai. As a bridge between the Investment/Research/Trading teams and the Compliance team, this role is embedded within the investment team on a daily basis, supporting the CIO, Head of Research, Head of Trading Room, and BM. The objective is to enhance the Investment/Research/Trading teams understanding of regulatory requirements and compliance policies, while also feeding back any regulatory blind spots encountered in daily investment activities to the Compliance team. This supports improved business efficiency and strengthened compliance.