Compliance Officer

Apex Group

  • 上海市
  • 长期
  • 全职
  • 25天前
The Apex Group was established in Bermuda in 2003 and is now one of the world’s largest fund administration and middle office solutions providers.Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide.Your career with us should reflect your energy and passion.That’s why, at Apex Group, we will do more than simply ‘empower’ you. We will work to supercharge your unique skills and experience.Take the lead and we’ll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities.For our business, for clients, and for youDescriptionThis role is expected to be a trusted adviser, business partner, and key stakeholder to support the compliance matters in China. This candidate will be working with the local Head of Compliance and Data Protection Officer on the operation level and is also part of the Compliance function in the Asia Pacific (APAC) region. Primary responsibility is vested in China and to ensure all activities conducted by Apex China practices adhere to local regulatory and statutory requirements, as well as complying with Apex Group’s policies. This candidate will also be working closely with our regional support hub in India providing compliance reporting and coordination support to the Compliance teams in APAC.Insofar as the local compliance coverage is concerned, this will normally include tasks such as drafting, updating & implementing compliance policies, programme and procedures and the monitoring thereof, conduct monitoring and testing of the business operations on regular basis, completing internal and external compliance reports, and fostering compliance awareness throughout the organization in alignment with Apex’s global standards and principles.Job specification
  • Ensure that Apex China practices are fully compliant with relevant laws and regulations.
  • Support management and Business in managing regulatory risks, including AML and terrorist financing. Advise on AML & CDD due diligence, PEP, and sanction checks for client and investor files and related matters as well as FATCA, CRS queries from the operation teams.
  • Conduct local regulatory analysis and assess & advise on the impact and implications of the proposed legislative and regulatory changes in relation to Apex’s practices.
  • Regular review of and update the Apex China Compliance Monitoring Programme and controls to ensure they stay current and align with existing statutory and regulatory obligations, requirements and development. This includes monitoring their effectiveness and enhancing controls and procedures as needed.
  • Implement and/or follow up on the recommendations made by internal or external audits and/or the regulators, regarding compliance risks/issues and the remediations thereafter, if any.
  • Act as the designated Money Laundering Reporting Officer and Data Protection Officer for specific Apex China entity as assigned. Be the main point of contact with the local regulatory bodies and financial intelligence units.
  • Report suspicious activity to regulatory authorities in consultation with the Regional Compliance Leadership. Maintain and refresh local compliance procedures such as SAR/STR, complaints handling procedures, screening procedures etc., and ensure that other local policies and procedures are established and followed accordingly.
  • Keep abreast of local legal and regulatory requirements and ensure adequate local compliance awareness and training, in line with Apex’s Group’s and current legal and regulatory requirements.
  • Support the Board, Local and Group Compliance Reporting as appropriate.
  • Act and be recognized as a trusted advisor to the local office and managing stakeholders with maturity whereas escalate relevant and appropriate matters to the local Head of Compliance as appropriate.
  • Attend to other tasks & project as assigned.
Regional Tasks:
  • Work together with the Indian Compliance team to render compliance reporting support to other APAC jurisdictions and attending to other regional tasks as appropriate.
  • Assist in implementing and enforcing the Apex Group Compliance framework and requirements in APAC and work with stakeholders regionally and globally on relevant matters.
  • Communicating and coordinating with other Compliance professionals in the APAC region on various tasks in effective and efficient manner.
  • Identify workflow and logistic improvement opportunities.
Skills Required:
  • At least 3 to 5 years solid experience in Compliance with reference to Apex China businesses.
  • Recognized compliance qualification (or equivalent) is preferred. ACAMS certification and/or other professional compliance qualification would be an added advantage.
  • Experienced in dealing with regulators like AMAC and CSRC would be advantageous.
  • Fluency in both written and spoken English and Mandarin with strong communication skills would be essential. This role requires day to day communication with English speakers and possessing excellent communication efficiency and skill to effectively communicate, engage, and establish relationships both internally within the organization and externally with stakeholders will be a key success factor.
  • In-depth understanding of financial services regulation and AML guidelines and preferably relevant to Apex’s businesses.
  • Reliable, adaptable, motivated, and driven with an ability to work under pressure to meet tight deadlines.
  • Proactive achiever who can drive achievements and results.
  • Organized and self-disciplined. Energetic with excellent problem-solving skills and can also think out of the box in terms of routine and non-routine tasks and issues. Organizational and prioritization skills are essential.
  • Ability to work independently as well as working as a team member.
  • Strong PC skills.
What you will get in return:
  • A genuinely unique opportunity to be part of an expanding large global business;
  • Competitive remuneration commensurate with skills and experience;
  • Training and development opportunities
Additional information:We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences.We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.For more information on our commitment to Corporate Social Responsibility (CSR) please visitPersonal data provided by job applicant(s) will be used for recruitment purposes only and will be treated strictly confidential. Such personal data can be accessed by different Apex stakeholders within and out of China for the consideration of the job application hereunder. Application made by the job applicant(s) constitutes the irrevocable consent of the job applicant for her/his personal data to be used by Apex stakeholders within or outside China for the purpose of this recruitment.Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.

Apex Group