A Reputable Foreign Asset Management Company
Key Responsibilities
1. Compliance Leadership & Regulatory Management
Serve as the primary compliance lead for China, overseeing all compliance and legal matters across the business.
Maintain strong, constructive relationships with key regulators, including financial regulatory authorities and industry associations.
Monitor regulatory developments, interpret new rules, and ensure timely implementation of compliance requirements.
Lead regulatory reporting, inspections, inquiries, and communication with authorities.
2. Compliance Framework & Risk Management
Develop, enhance, and implement the firm’s compliance framework, policies, and internal controls in line with local regulations and global standards.
Oversee compliance risk assessments, thematic reviews, and internal monitoring programs.
Ensure effective controls for investment compliance, product compliance, AML/KYC, data protection, outsourcing, and operational risk.
3. Business Partnership & Advisory
Act as a strategic partner to the business, providing practical, commercially minded compliance and legal advice.
Support new business initiatives, product launches, cross‑border activities, and distribution arrangements.
Identify potential compliance risks and provide solutions that enable business growth while maintaining regulatory integrity.
4. Licensing & Regulatory Approvals
Lead the process for obtaining and maintaining regulatory licenses, approvals, and filings required for the firm’s China operations.
Coordinate with regulators and internal stakeholders to ensure smooth and timely completion of licensing processes.
5. Crisis Management & Issue Resolution
Lead crisis management efforts, including incident investigation, remediation, and communication with regulators and senior management.
Provide guidance on complex or sensitive compliance issues and ensure timely resolution.
6. Team Leadership
Manage and develop a team of 4–5 compliance and legal professionals.
Foster a culture of integrity, accountability, and continuous improvement.
Provide coaching, training, and professional development to enhance team capabilities.