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VP / Director, Head of Compliance (Hong Kong & Shanghai) - Global PE Fund
January 5, 2020
Title: Head of Compliance x 2 (Hong Kong & Shanghai)
Location: Hong Kong & Shanghai
These roles will act as a Head of Compliance in Hong Kong & Shanghai. You will be expected to work closely with investment teams, other local stakeholders and global/regional compliance teams to provide day-to-day regulatory support.
Administration of the compliance program in the Asia ex‐Japan region.
Assist with review and tracking of proposed fund investments for compliance risks.
Assist with coordinating internal inspections and regulatory examinations as required.
Assist with the annual review of the compliance program.
Assist with global compliance risk assessment.
Partner with the business to appropriately assess, mitigate and manage regulatory risk.
Develop and implement the Firm's compliance agenda, regulatory change management program, and maintenance of its license obligations.
Work collaboratively with the global Compliance Department in maintaining compliance policies, procedures and key controls to manage and mitigate regulatory risks and conflicts of interest.
Monitor and inform management as to regulatory developments in the region.
Manage and direct outside consultants and law firm on compliance matters.
Partner with the global Compliance Department to ensure accurate and complete regulatory reporting.
Report periodically to senior management on the China compliance program and risk and regulatory outlook.
Conduct compliance training and education programs for current and new employees.
Manage a small compliance team.
Ad hoc projects and initiatives.
Required Knowledge, Skills and Abilities:
High capacity for strategic thought and the ability to creatively solve complex business problems.
Strong quantitative and qualitative analytical skills.
Working knowledge of laws and regulations applicable to fund managers/asset managers in China.
Experience with Private Equity firms and/or Hedge Funds preferred.
Experience with China WFOE preferred.
Excellent research skills.
Excellent verbal and written communication skills and the ability to interact professionally with a diverse group of managers and subject matter experts.
Mature, sound judgment and ability to build relationships and engender confidence with key internal and external stakeholders.
Experience working in a global multi‐cultural business environment.
A strategic business partner and trusted advisor who is decisive and brings a practical, commercial focus to the provision of regulatory and compliance advice.
Collaborative and consultative team player who possesses an ability to work well both independently and in a team environment.
Self‐starter who is well organised and exudes a "can do" attitude.
The ability to adapt to a rapidly changing regulatory and business environment.
The ability to work independently and operate effectively in a cross‐functional environment.
Demonstrated ability to prioritise work and manage time in a deadline‐driven environment.
8+ years of experience as a compliance professional in the financial services industry, preferably in Private Equity.
Prior experience/knowledge on various regulatory rules and regulations in China, applicable to the fund management industry.
Leadership and management experience.
Bachelor's Degree holder in law, finance, business administration or related field.
Excellent command of written and spoken English.
Mandarin a plus.
Friendly, trustworthy personality will be successful in the role.