Description

Company Introduction
Position Overview
The China Compliance Officer (CCO) will lead the compliance and legal function for the firm's China operations, ensuring full regulatory compliance, supporting business growth, and maintaining strong relationships with regulators. This r

Job Description

Key Responsibilities

1. Compliance Leadership & Regulatory Management

Serve as the primary compliance lead for China, overseeing all compliance and legal matters across the business.
Maintain strong, constructive relationships with key regulators, including financial regulatory authorities and industry associations.
Monitor regulatory developments, interpret new rules, and ensure timely implementation of compliance requirements.
Lead regulatory reporting, inspections, inquiries, and communication with authorities.

2. Compliance Framework & Risk Management

Develop, enhance, and implement the firm's compliance framework, policies, and internal controls in line with local regulations and global standards.
Oversee compliance risk assessments, thematic reviews, and internal monitoring programs.
Ensure effective controls for investment compliance, product compliance, AML/KYC, data protection, outsourcing, and operational risk.

3. Business Partnership & Advisory

Act as a strategic partner to the business, providing practical, commercially minded compliance and legal advice.
Support new business initiatives, product launches, cross-border activities, and distribution arrangements.
Identify potential compliance risks and provide solutions that enable business growth while maintaining regulatory integrity.

4. Licensing & Regulatory Approvals

Lead the process for obtaining and maintaining regulatory licenses, approvals, and filings required for the firm's China operations.
Coordinate with regulators and internal stakeholders to ensure smooth and timely completion of licensing processes.

5. Crisis Management & Issue Resolution

Lead crisis management efforts, including incident investigation, remediation, and communication with regulators and senior management.
Provide guidance on complex or sensitive compliance issues and ensure timely resolution.

6. Team Leadership

Manage and develop a team of 4-5 compliance and legal professionals.
Foster a culture of integrity, accountability, and continuous improvement.
Provide coaching, training, and professional development to enhance team capabilities.

Job Requirements

Qualifications & Requirements

1. Professional Experience

Minimum 10+ years of compliance experience in the asset management or insurance asset management industry.
Proven track record interacting with regulators and managing regulatory relationships.
Experience overseeing both compliance and legal functions is highly preferred.

2. Technical Expertise

Strong knowledge of China's regulatory framework for asset management, insurance asset management, investment products, and cross-border activities.
Familiarity with licensing processes, regulatory filings, and compliance operations.
Ability to interpret regulations and translate them into practical business guidance.

3. Leadership & Soft Skills

Strong leadership skills with experience managing and developing teams.
Excellent communication and stakeholder-management abilities.
Solutions-oriented mindset with the ability to balance regulatory requirements and business needs.
High integrity, sound judgment, and strong crisis-management capability.

4. Language

Proficiency in Mandarin and English (written and spoken).

Ideal Candidate Profile

Senior compliance leader with deep China regulatory experience.
Trusted advisor to business leaders, capable of influencing decisions and enabling growth.
Strong regulatory network and credibility with authorities.
Hands-on, pragmatic, and able to manage complex issues under pressure.