See more Collapse

Compliance Officer

1 month ago

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

At Franklin Templeton, we’re advancing our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that’s both broad and unique. From our welcoming, 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.

Come join us in delivering better outcomes for our clients around the world 

We are looking for a Compliance Officer based in Shanghai, China. The Compliance Officer will be liaising with the China regulators, reviewing marketing materials to be distributed and providing advice to the products to be launched in China. This role will also implement a local compliance monitoring program for Franklin Templeton’s (FT) business units to ensure that all activities comply with the pertinent legal and regulatory requirements as well as FT’s internal policies and procedures. This role will have opportunities to work with other team members within Regulatory Compliance Team across EMEA and APAC on various compliance projects and initiatives to support our business partners.

What are the ongoing responsibilities of this position?

Liaise with regulators such as China Securities Regulatory Commission and Asset Management Association of China

Provide compliance advice for the 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 project and administrative work

What qualifications, skills and experience would help someone to be successful?

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]

#LI-APAC

#ASSOCIATE

Experience our welcoming culture and reach your professional and personal potential

Our culture is shaped by our diverse global workforce and strongly held core values. Regardless of your interests, lifestyle, or background, there’s a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life.

By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life’s adventures, taking care of your family members, or making a positive impact in your community, we aim to have your needs covered. 

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.

We have other current jobs related to this field that you can find below

  • Compliance Officer

    2 weeks ago

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

    At Franklin Templeton, we're advancing our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring...

  • Compliance Officer

    4 days ago

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

    RESPONSIBILITIES: Perform due diligence and compliance tasks in the local sales process in relation to customers, distributors, agents and other third parties and assess the legitimacy of such third parties and business partners. Collaborate with finance, legal/compliance, and sales teams to ensure compliance with group policies related to third...

  • Senior Compliance Officer

    1 week ago

    Shanghai, China Optiver Full time

    WHO WE ARE Optiver is a global market maker with offices in Amsterdam, London, Chicago, Austin, Sydney, Shanghai, Hong Kong, Singapore and Taipei. Founded in 1986, today we are a leading liquidity provider, with close to 2,000 employees in offices around the world, united in our commitment to improve the market through competitive pricing, execution and...

  • Compliance and Risk Officer

    2 weeks ago

    Shanghai, Shanghai, China Schroders Full time

    About Schroders We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future. We have around 4,000 people on six continents. And we've been around for over 200 years but keep adapting as society and technology changes. What...

  • Compliance and Risk Officer

    4 weeks ago

    Shanghai, China Schroders Full time

    About Schroders We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future. We have around 4,000 people on six continents. And we've been around for over 200 years but keep adapting as society and technology changes. What...

  • Associate Director, Greater China Regional Compliance Officer

    1 week ago

    Shanghai, China Illumina Full time

    What if the work you did every day could impact the lives of people you know? Or all of humanity?At 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...

  • Sr. Manager, Compliance Officer

    2 weeks ago

    Shanghai, Shanghai, China MSD Full time

    Job Description:Join our team as a Compliance Senior Manager under the supervision of Compliance Director. In this role, you will provide guidance to a specific Business Unit, serving as an independent compliance advisor across various key areas:Compliance Partnering: Offer daily compliance advice, respond to inquiries from business units, and demonstrate...

  • Sr. Manager, Compliance Officer

    4 weeks ago

    Shanghai, Shanghai, China MSD Full time

    Job Description:Join our team as a Compliance Senior Manager under the supervision of Compliance Director. In this role, you will provide guidance to a specific Business Unit, serving as an independent compliance advisor across various key areas:Compliance Partnering: Offer daily compliance advice, respond to inquiries from business units, and demonstrate...

  • Product Compliance Officer

    2 weeks ago

    Shanghai, Shanghai, China Fossil Group Full time

    Desired Skills and Experience: • Degree holder or above in related discipline • 2-3 years in compliance experience in brand/retailer industry (work experience in China lab is an advantage) • Working knowledge of Restricted Substances compliance in China (GB testing standard) • Good communication skills required, self-motivated, strong...

  • Product Compliance Officer

    4 weeks ago

    Shanghai, China Fossil Group Full time

    Desired Skills and Experience: • Degree holder or above in related discipline • 2-3 years in compliance experience in brand/retailer industry (work experience in China lab is an advantage)  • Working knowledge of Restricted Substances compliance in China (GB testing standard)  • Good communication skills required, self-motivated,...

  • Sr. Manager, Compliance Officer

    4 weeks ago

    Shanghai, China MSD Full time

    Job DescriptionJob DescriptionUnder the supervision of Compliance Director, the Compliance Senior Manager will taking consultation role for a designated Business Unit and assist the Compliance Risk as a firm independent positions for below working areas:Compliance partnering:  Provide daily compliance related advice and answer ad hoc enquiries from...

  • SVP, AML Compliance Officer, Digital Solutions

    2 weeks ago

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

    Citi'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 solutions for...

  • SVP, AML Compliance Officer, Digital Solutions

    3 weeks ago

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

    Citi’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 solutions for...

  • SAP iXp Intern

    4 weeks ago

    Shanghai, China SAP Full time

    We help the world run better Our company culture is focused on helping our employees enable innovation by building breakthroughs together. How? We focus every day on building the foundation for tomorrow and creating a workplace that embraces differences, values flexibility, and is aligned to our purpose-driven and future-focused work. We offer a highly...

  • Regional Compliance

    2 weeks ago

    Shanghai, Shanghai, China BASF SE Full time

    Objectives:We are looking for a legal and compliance intern who will provide a wide range of paralegal support as well as compliance / legal support in order to effectively facilitate daily operations of Regional / China Compliance team. The candidate should be proactive and diligent and understand business and operation needs of the organization. S/he...

  • Regional Compliance

    1 month ago

    Shanghai, Shanghai, China BASF SE Full time

    Objectives:We are looking for a legal and compliance intern who will provide a wide range of paralegal support as well as compliance / legal support in order to effectively facilitate daily operations of Regional / China Compliance team. The candidate should be proactive and diligent and understand business and operation needs of the organization. S/he...

  • Product Compliance Specialist

    2 months ago

    Shanghai, China Ikea Full time

    Job description Here is the deal: You will work with our various locations to gain an overall picture and understanding of the whole Product Quality agenda. The idea is to offer you the opportunity to learn from the reality of each one of our offices, Moreover, you will also have the chance to work in: Examples of assignments: Lead and facilitate...

  • Compliance Investigator.

    4 weeks ago

    Shanghai, China Medtronic Full time

    MAIN PURPOSE OF JOB (BRIEF SUMMARY) The Compliance Specialist is primarily responsible for the execution of Ethics and Compliance investigations within the Office of Ethics and Compliance (OEC). This role conducts investigations, including interviews, reviewing and analyzing documents, and will ensure timely, thorough, and efficient investigation of...

  • Compliance Investigator

    2 weeks ago

    Shanghai, Shanghai, China Medtronic Full time

    MAIN PURPOSE OF JOB (BRIEF SUMMARY) The Compliance Specialist is primarily responsible for the execution of Ethics and Compliance investigations within the Office of Ethics and Compliance (OEC). This role conducts investigations, including interviews, reviewing and analyzing documents, and will ensure timely, thorough, and efficient investigation of...

  • Senior Compliance Associate

    5 hours ago

    Shanghai, China Third Bridge Full time

    Job Description Skills Organized with excellent attention to detail for proofreading and identifying compliance issues Ability to understand and perform different Compliance policies in different regions Excellent oral and written English communication skills Ability to develop strong working relationships across the organization, working with...