Compliance Officer

2 days ago

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

At Franklin Templeton, 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 a range of opportunities to help investors succeed.

Key Responsibilities:
  • Liaise with regulators, such as the China Securities Regulatory Commission and Asset Management Association of China, to ensure compliance with relevant regulations.
  • Provide compliance advice for products to be launched in China, ensuring adherence to local regulatory requirements and industry best practices.
  • Review marketing materials and financial promotions to be distributed, ensuring they meet regulatory standards.
  • Prepare and compile regulatory compliance reports for regulators, auditors, and clients.
  • Implement local compliance monitoring programs for business activities, ensuring timely and efficient execution.
  • Analyze and report forensic testing results.
  • Update local compliance manuals, policies, and procedures as required.
  • Support regional compliance risk assessments.
  • Participate in local and overseas compliance projects and initiatives, as well as other business projects to support our business partners.
Requirements:
  • Bachelor's degree.
  • Minimum 5 years of relevant compliance experience in the financial services industry.
  • Practical experience in asset management companies, regulatory authorities, and/or audit firms, with 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 and fund management systems.
  • Excellent communication skills and proficiency 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.

Franklin Templeton is an Equal Opportunity Employer, committed to providing equal employment opportunities to all applicants and existing employees. 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.

  • Senior Compliance Officer

    2 weeks ago

    Shanghai, Shanghai, China Optiver Full time

    Compliance Officer Role at OptiverOptiver is a global market maker with a presence in multiple continents, and we are seeking a highly skilled Compliance Officer to join our China Compliance team.The ideal candidate will possess a deep understanding of local equity and derivatives market rules and regulations, and the ability to effectively provide trusted...

  • Compliance Officer

    2 weeks ago

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

    Compliance Officer Job DescriptionAt 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 a range of...

  • Regional Compliance Officer

    3 days ago

    Shanghai, Shanghai, China Illumina Full time

    Job Title: Regional Compliance Officer - Greater ChinaAt Illumina, we are expanding access to genomic technology to realize health equity for billions of people around the world. Our efforts enable life-changing discoveries that are transforming human health through the early detection and diagnosis of diseases and new treatment options for patients.Job...

  • Compliance Officer

    4 weeks ago

    Shanghai, Shanghai, China Spectris Instrumentation and Systems Shanghai Ltd. (MP OpCo) Full time

    Job Summary:Spectris Instrumentation and Systems Shanghai Ltd. (MP OpCo) is seeking a highly skilled Compliance Officer to join our team. As a key member of our compliance function, you will be responsible for ensuring the company's compliance with export control regulations and trade compliance policies.Key Responsibilities:Perform due diligence and...

  • Chief Compliance and Risk Officer

    4 weeks ago

    Shanghai, Shanghai, China Crédit Agricole CIB Full time

    Position Overview The Chief Risk Officer will serve as the primary representative for Risk and Permanent Control in China, liaising with management and various departments to ensure effective Human Resources management, participation in Business Continuity Planning, and handling daily administrative tasks. This role includes attending relevant committees...

  • Lead SHE Compliance Officer

    4 weeks ago

    Shanghai, Shanghai, China Roche Full time

    Position Overview Job Summary: This role involves the initiation and execution of corporate policies and guidelines concerning safety, health, and environmental protection under the guidance of the line manager. Collaborate with the SHE team to engage with stakeholders on matters of occupational health, risk assessment, incident reporting, safety...

  • Senior AML Compliance Officer, Digital Solutions

    5 days ago

    Shanghai, Shanghai, China 10780 Citibank (China) Co., Ltd. Full time

    Job SummaryCiti's central role in the rapidly-evolving global digital payments ecosystem requires innovative thinking to mitigate money laundering, terrorist financing, and sanctions risks. The Payment Intermediary (PI) AML Compliance Risk Management (ACRM) Officer is responsible for partnering with Services business teams to deliver AML-risk mitigated...

  • Compliance Specialist

    2 weeks ago

    Shanghai, Shanghai, China Spectris Instrumentation and Systems Shanghai Ltd. (MP OpCo) Full time

    Job Title: Compliance OfficerAbout the Role:We are seeking a highly skilled Compliance Officer to join our team at Spectris Instrumentation and Systems Shanghai Ltd. (MP OpCo). As a key member of our compliance team, you will be responsible for ensuring that our business operations are in compliance with all relevant laws, regulations, and internal...

  • Ethics and Compliance Manager

    4 weeks ago

    Shanghai, Shanghai, China 8951 Sandvik Coromant Cutting Tools Full time

    About Us 8951 Sandvik Coromant Cutting Tools is seeking a knowledgeable Compliance Officer to become a vital part of our global Compliance team. We are committed to conducting our business with transparency, integrity, and the highest ethical standards to fulfill legal obligations and meet stakeholder expectations. Your Role In this position, you will be...

  • Ethics and Compliance Manager

    4 weeks ago

    Shanghai, Shanghai, China 8951 Sandvik Coromant Cutting Tools Full time

    8951 Sandvik Coromant Cutting Tools is seeking a seasoned Compliance Officer to become a vital part of our global Compliance team. We are looking for an individual who is dedicated to conducting business with transparency, integrity, and high ethical standards, ensuring adherence to legal obligations and stakeholder expectations. As a leading entity in the...

  • Compliance Attorney

    2 days ago

    Shanghai, Shanghai, China Applied Materials Full time

    Outstanding Opportunity for Compliance ExpertThis is an exceptional chance for an experienced compliance attorney to join Applied Materials' Global Litigation & Compliance team and contribute to the implementation and sustenance of the company's compliance programs in China. Based in Shanghai, this role will be a critical part of the team, reporting to the...

  • Regulatory Compliance Specialist

    4 weeks ago

    Shanghai, Shanghai, China 8951 Sandvik Coromant Cutting Tools Full time

    8951 Sandvik Coromant Cutting Tools is seeking a skilled Compliance Officer to enhance our global Compliance team. We are dedicated to conducting our business with transparency, integrity, and adherence to high ethical standards, ensuring compliance with legal obligations and meeting stakeholder expectations. As a leading entity in the cutting tool sector,...

  • Compliance Manager

    3 days ago

    Shanghai, Shanghai, China United Overseas Bank Full time

    About United Overseas BankUnited Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of more than 500 branches and offices in 19 countries and territories in Asia Pacific, Europe and North America.About the DepartmentThe Compliance Department plays a critical role in ensuring that UOB operates in a responsible and sustainable manner,...

  • Trade Compliance Specialist

    2 days ago

    Shanghai, Shanghai, China Thermo Fisher Scientific Full time

    Job Title: Trade Compliance ManagerThermo Fisher Scientific is seeking a highly skilled Trade Compliance Manager to join our team. As a key member of our organization, you will be responsible for ensuring compliance with local, national, and international trade regulations.Key Responsibilities:Develop and implement trade compliance policies and procedures to...

  • Regulatory Compliance Counsel

    7 days ago

    Shanghai, Shanghai, China emerson Full time

    Job Title: Regulatory Compliance CounselEmerson is seeking a highly skilled Regulatory Compliance Counsel to join our team in China. As a key member of our compliance program, you will provide legal support in the management of our compliance program in China with respect to Regulatory Compliance matters.Key Responsibilities:Provide advice on Regulatory...

  • Compliance and Safety Manager

    4 weeks ago

    Shanghai, Shanghai, China BDP International Full time

    Job Description Job Summary: The selected candidate will be tasked with the execution and management of Health, Safety, Environment, and Quality (HSEQ) programs within the Asia Pacific region, specifically in China. This role involves collaborating closely with the management team to ensure adherence to all governmental regulations regarding...

  • Senior Vice President, Anti-Money Laundering Compliance Officer, Digital Solutions

    3 weeks ago

    Shanghai, Shanghai, China 10780 Citibank (China) Co., Ltd. Full time

    Job Summary:Citi's central role in the rapidly-evolving global digital payments ecosystem requires innovative thinking to mitigate financial crime risks. The Payment Intermediary (PI) Anti-Money Laundering (AML) Compliance Risk Management Officer is responsible for partnering with business teams to deliver AML-risk mitigated solutions for our PI...

  • Compliance Manager

    3 weeks ago

    Shanghai, Shanghai, China Ebury Full time

    Job Title: Compliance Manager & MLROEbury is a leading FinTech firm, recognized for its innovative approach to financial services. We offer a range of products, including FX risk management, trade finance, currency accounts, international payments, and API integration.About the RoleWe are seeking a seasoned professional to fill the critical position of...

  • Compliance Manager

    2 weeks ago

    Shanghai, Shanghai, China Ebury Full time

    Job Title: Compliance Manager & MLROEbury is a leading FinTech firm, recognized for its innovative approach to financial services. We offer a range of products, including FX risk management, trade finance, currency accounts, international payments, and API integration.Job Summary:We are seeking a seasoned professional to fill the role of Compliance Manager &...

  • Tax Compliance Specialist

    3 days ago

    Shanghai, Shanghai, China Deckers Brands Full time

    Job Title: Assistant Tax ManagerDeckers Brands is seeking an experienced Assistant Tax Manager to support our Senior Tax Manager, APAC, with tax provision, tax compliance, and planning projects covering APAC, mainly in China, with potential expansion to Japan, Hong Kong SAR, Vietnam, and other regions.Key Responsibilities:Assist in preparing tax compliance...