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 doesn't change is our commitment to helping our clients, and society, prosper.

Job Summary

Schroders Capital Private Fund Management (Shanghai) Co. Ltd. (“Schroders Capital PFM” or “SC PFM”) is looking for a Compliance and Risk staff to assist the Chief Compliance and Risk Officer of SC PFM dealing with the compliance and risk matters.

This role will be based in Shanghai. 

Key Responsibilities

Advise on rules and regulations associated with the Schroders Group and Schroders Capital’s current and proposed business activities including new business sectors, new business initiatives, new products and new clients relationships in China market;

Assist with maintenance internal policies and procedures for the SC PFM to ensure adherence with legal and regulatory requirements in China;

Monitor the SC PFM’s compliance with the relevant China local legal and regulatory requirements;

Review regulations issued by the AMAC to ensure they are incorporated into the Compliance andRisk control mechanism and operational processes of SC PFM;

Work proactively with advisers, regulators and other market participants and be in the knowledge flow in the market;

Assist with the Chief Compliance Officer of SC PFM to supervise, inspect, evaluate, report and recommend on the internal control system of the SC PFM;

Educate and train SC PFM staff on applicable rules and regulations and company policies and procedures.

Report on compliance and risk matters to the Board and Chief Compliance Officer of the SC PFM;

Develop and implement investment risk management strategies to identify and mitigate potential investment risks for Schroders Capital RMB equity business;

Develop fund risk profile for the RMB funds and generate fund risk report for the RMB IC to make investment decisions;

Participate RMB IC meetings and provide independent views in terms of investment risks;

Liaise with different business sectors of the Schroders Group and Schroders Capital, deal with the potential investment risks arising from the investment in different asset classes;

Work closely with internal stakeholders and maintain risk management framework, localize group requirements to the SC PFM.

Requirements

Has at least 8 years working experiences with possession of strong regulatory, compliance and risk knowledge and with in-depth understanding experiences of the primary market in China;

Has Compliance and Risk control experiences in field of Private Equity, Real Estate and/or Infrastructure is a plus;

Has proficiency skills in English and Chinese (written & oral);

Has passed the AMAC professional exam (at least “Subject One: Laws, Regulations, Professional Ethics and Business Practice” and “Subject Three: Basic Knowledge of Private Equity Funds”);

Has clean disciplinary record with CSRC, AMAC and any other relevant regulatory authorities and industry associations;

Has clean credit records;

Has strong interpersonal skill and ability to establish and maintain effective business relationships with key stakeholders;

Has good organisational and project management skills to manage different tasks with competing deadlines;

Has solid analytical skills with attention to details;

Has ability to work under pressure and in a fast paced environment;

Reliable, self-motivated, able to work well independently and within a team. 

We recognise potential, whoever you are

Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background or any other protected characteristics.

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