Compliance Officer

2 weeks ago

Shanghai, Shanghai, China F3350 Franklin Templeton Private Fund Management (Shanghai) Co., Limited Full time

At Franklin Templeton Private Fund Management (Shanghai) Co., Limited, we're committed to advancing our industry forward by developing innovative solutions to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering various ways to help investors make progress toward their objectives. Our talented teams working globally bring expertise that's both broad and unique. From our inclusive and flexible culture to our global and diverse business, we provide opportunities to help you reach your potential while helping our clients reach theirs.

Key Responsibilities:

  • Liaise with regulators such as the China Securities Regulatory Commission and Asset Management Association of China.
  • Provide compliance advice for products to be launched.
  • Review marketing materials and financial promotions to be distributed and ensure adherence to relevant local regulatory requirements and industry best practices.
  • Prepare and compile regulatory compliance reports to regulators, auditors, and/or clients.
  • Implement local compliance monitoring programs for business activities in a timely and efficient manner.
  • Analyze and report forensic testing results.
  • Update local compliance manuals, policies, and procedures when required.
  • Support regional compliance risk assessments.
  • Participate in local and overseas compliance projects and initiatives, other business projects to support our business partners.
  • Other ad-hoc projects and administrative work.

Requirements:

  • Bachelor's degree.
  • Minimum 5 years relevant compliance experience in the financial services industry.
  • Practical experience in asset management companies, regulatory authorities, and/or audit firms, and had experience in setting up and working in QDLP, PFM, or FMC in China is highly preferred.
  • Knowledge of CSRC and AMAC regulations and other regulatory requirements in China.
  • Solid knowledge of Microsoft Office software (essential) and fund management systems (preferable).
  • Excellent communication skill and must be proficient in written and verbal English and Chinese.
  • Project Management experience is preferred.
  • Solid analytical skills.
  • Meticulous and attention to detail.
  • Proactive and independent.
  • Ability to perform multiple tasks in a fast-paced team environment.
  • Strong organizational and time management skills.
  • Passed the Fund Practitioner Qualification Exam [基金从业资格考试].

Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and existing employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.

Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need an accommodation to search for or apply for one of our positions, please send an email to. In your email, please include the accommodation you are requesting, the job title, and the job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response.

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