Our client is one of the top asset management companies in the world, and also has very strong business in other financial service industries.

• Responsible for the annual monitoring plan, including the designing, testing and reviewing of the China Compliance program to assess whether business is effectively implementing proper controls to adhere to all applicable regulatory requirements in China, as well as relevant banking Group internal policies and procedures.

• Oversee monitoring activities of third parties who perform various functions for the DWS China WOFE(s)

• Oversee and ensure a solid AML/KYC program is in place, including monitoring of proper on-boarding processes, appropriate client suitability/ product appropriateness procedures and continuous assessment on existing clients and distributors.

• Investigate issues arising from compliance surveillance and testing efforts.

• Administer day to day controls in support of Anti-Financial crime (Anti-Money Laundering, Anti-Financial Fraud and Anti-Bribery & Corruption) program in China.

• Provide compliance advice with regard to the applicable regulations of asset management business and the whole Group internal policies and procedures from a China perspective, or as it impacts the China business.

• Enhance/ provide compliance training for relevant staff so that appropriate compliance knowledge and awareness can be maintained.

• Advise on general regulatory queries and liaise with relevant asset management regulatory bodies and industry associations (AMAC) as necessary.

• A minimum of 7 years asset management Compliance, monitoring or auditing experience within a financial institution, regulator and/or similar environment.

• Strong knowledge of the QDLP regime in China and working knowledge of compliance programs for asset management activities targeted at both institutional and retail clients.

• Working knowledge of administering compliance controls for alternative asset classes (e.g. Private equity, real estate) in China.

• Passed AMAC exams applicable to mainland Compliance officers.

• The responsible Compliance person in this WFOE

• Also covered risk team