Chief Compliance Officer, Securities

  • Negotiable
  • Shanghai, Shanghai Shi, China
  • Permanent, Full time
  • Profile Search & Selection
  • 10 Nov 18

The Securities Company Limited is a locally incorporated securities joint venture. The JV is located in Shanghai and is primarily engaged in equity and bond underwriting as well as bond trading. The JV is currently looking for an experienced professional to join as the JV's Chief Compliance Officer.


  • Based in Shanghai and reporting locally to JV Board of Directors, this role will involve the leading of a team and be responsible for these core responsibilities:
  • Advise senior management and employees on internal policies and regulatory requirements.
  • Regulatory interaction. Manage relationships with regulators across China such as CSRC, PBOC and SAC, ensuring that communications with the regulators are open and constructive.
  • Regulatory inspection. Coordinate regulatory on-site inspections and act as main Compliance liaison during regulatory inspections of the JV to ensure compliance with regulatory requirements.
  • Stakeholder management. Maintain good working relationships with senior management and stakeholders of the JV to ensure they understand the market and regulatory changes and their risk impact on the JV.
  • Industry contacts. Work on communications with industry participants to ensure appropriateness and consistency.
  • New business initiatives. Review new business initiatives from regulatory, best practice and Firm perspective.
  • Compliance framework. Ensure the JV has a Compliance framework, including adequate policies and procedures, training and identification of risk areas to conduct independent compliance reviews and monitoring.
  • Compliance projects.


  • In-depth knowledge of securities regulatory and compliance requirements in China
  • At least 10 years of relevant experience in securities industry with a substantial on-shore business presence in China
  • At least 2 years of department head or above experience in a securities company or at least 4 years of department head or above experience in other types of financial institutions
  • Effective written and oral communication skills in both English and Mandarin
  • Attention to detail
  • Strong relationship management skills with internal business units and regulators such as CSRC, PBOC and SAC a distinct advantage.