Mandarin Speaking Compliance Manager

London, United Kingdom Posted on 26/07/2024

This is a permanent position at a well-established investment company. You will play a critical role insupporting the company's compliance efforts across various facets, including AML/KYC, monitoringregulatory developments, investment process oversight, and corporate policyenforcement. This position offers the opportunity to work closely withboth internal teams (including headquarters and other overseas offices) and marketleading financial institutions, ensuring that the company adheres to all applicableregulatory and internal compliance best-in-class practices and standards.

Main Responsibilities: 1. AML/KYC and Regulatory Compliance

• Assist in conductingAML/KYC procedures with various counterparties and maintain detailed andaccurate compliance records.
• Stay abreast ofdevelopments in the regulatory landscape including AML/KYC, sanctions, foreigndirect investments, anti-trust and data protection matters. Advise managementon relevant compliance matters.

2. Investment and Asset Management Process Oversight

• Ensure all investment processes comply with both regulatory and internalguidelines.
• Perform compliance reviews on investment and asset management activitiesto uphold organizational standards.

3.CompliancePolicy Implementation and Training

• Support the implementation of compliance policies encompassing mattersrelating to conflicts of interest, insider trading, anti-bribery and corruptionand data protection.
• Participate in enhancing existing compliance measures and developing newinitiatives.
• Facilitate compliance training sessions for employees to fosterunderstanding and adherence to internal policies and applicable laws.

4.Operational Compliance Monitoring and Filing

• Conduct regular compliance audits and inspect various business functionsto ensure compliance with established protocols and regulations.
• Conduct operational compliance monitoring and filing.

Requirements

• Bachelor's and/or Master's degree in Law, Business, Finance or a relatedfield.
• Relevant experience in compliance, legal, or corporate secretarial roleswith recognized institutions in the financial services and/or legalprofessional services sector.
• A self-motivated player with a proactive learning attitude and acommitment to developing compliance expertise.
• High integrity and attention to detail.
• Fluency in both English and Chinese (verbal and written) is a must.