Chief Compliance Officer
Position Title: Chief Compliance Officer
Department: Operation
Location: Irvine, CA or Nation Wide
Compensation: Competitive
Company Background
Good Hope Investment Services, a subsidiary of CreditEase, is expanding its Wealth Management businesses and seeks to hire a Chief Compliance Officer to for the oversight of all of the Good Hope’s compliance programs, functioning as an independent and objective authority that reviews and evaluates compliance issues/concerns within the organization. The Chief Compliance Officer ensures the Investment is in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company’s standards of conduct, facilitate the expansion, create and maintain overall business compliances, leverage knowledge to assist business developments. Other responsibilities and required qualifications are as follow.
The Chief Compliance Officer is responsible
· Oversee the development of Compliance policy and procedures designed to ensure that the Adviser and the Funds are in compliance with applicable federal and state laws and regulations of the SEC, ERISA, FINRA and various state agencies.
· Through effective management of staff, oversee the Adviser’s compliance practices in the investment management of the 40 ACT funds, institutional, wealth advisory and wrap lines of business
· Identifies potential areas of compliance vulnerability and risk and develops and implements corrective action plans as needed
· Supports the strategic plans of the business in digital/mobile banking and lending; this position is responsible for the Consumer Compliance function encompassing Regulatory Risk, Fair Lending, and Financial Crime Prevention Compliance Audit teams to ensure that policies and processes are appropriate, competitive and consistent with Management's risk tolerance.
· Possesses deep knowledge of bank and non-bank financial institution related regulatory requirements, specifically related to consumer compliance regulations, and industry "best practices" for compliance programs in larger banking or consumer lending organizations.
· Provides compliance advice and guidance to senior management and as needed, to the firm’s investment professionals
· Oversee the preparation of required annual compliance report for Adviser.
· Responsible for Regulatory filings, including form ADV, 13F,13G, and foreign company filings
· Review and maintenance of Compliance Manuals
· Ensure compliance of sales and marketing activities and practices at Good Hope
· Oversee the day to day administration of the Firms Code of Ethics for Personal Trading and ensures compliance with advisor policies.
· Oversee the monitoring of compliance portfolio transactions and trading activity at all Good Hope locations.
· Monitors mutual fund and institutional compliance with objectives and guidelines at Good Hope.
· Oversee maintenance of Good Hope Group and Fund regulatory and internal records.
· Assists in the contracting process with vendors and clients.
· Partner with Virtus compliance in maintaining branch office registration and continuing education requirements.
· Oversee the testing, development and/or revising procedures designed to ensure compliance with the Investment Advisers and Investment Company Acts
· Performing other tasks/projects as assigned or required
Requirements of the Marketing Manager:
· Minimum Bachelor’s degree plus 10+ years of experience as a compliance officer with an investment adviser specializing in the institutional and fund marketplace.
· In-depth knowledge of regulations and interpretations under the Investment Adviser Act of 1940 and Investment Company Act of 1940.
· Broad knowledge of securities’ law including ERISA, FINRA, and State regulations
· Knowledge of portfolio compliance, trading, marketing, and back Office
· Significant experience and understanding of the retirement and securities industry including knowledge of insurance regulations across the spectrum of AIG's Life & Retirement businesses, including retirement plans, life insurance, fixed and variable annuities and mutual funds.
· Skill in identifying problems/making decisions (e.g., prioritization of tasks; interpretation of rules and policies
· The ability to form and develop relationships at all levels of the business is a critical element of this position.
· MBA or Law Degree and FINRA series 7, 24 and 65/66 licenses are highly desirable.
· Experience with the SEC is strongly desirable
· Language in Chinese and understanding of Chinese Culture are highly desirable.
How to Apply
This position can be viewed as a promotion to a senior role at a rapidly-growing financial firm. The Chief Compliance Officer reports to the General Manager, as well as CEO of Good Hope Group. Good Hope Group offers a competitive performance-based compensation and benefits package, including health and life insurance, 401K. Good Hope Group is an Equal Employment Opportunity Employer.
To apply, please email: GHG.HR@goodhopegroup.com
Wind New York Account Manager
Job description
Feb.20 2019
Wind, as a leading financial data provider in China, is looking for intelligent and coachable people as we expand business development team in New York City. With some giant goals ahead of us, we know that we can only do it with awesome talented people on board — people of high integrity, people who want to be a part of something bigger than themselves, and people driven to be on the cutting edge of China's capital markets growth. A side note, this is a very entrepreneurial opportunity so if you need structure and constant instruction to succeed, this is not the place for you.
What's in it for you?
• You have a great brand and product behind you, and you have full exposure to the market:
- 90% of Chinese institutional investors are already our clients
- 70% Qualified Foreign Institutional Investors are already our clients
• You have a chance to develop with a company positioned for tremendous growth in a brand new market — a ground floor cross-border entrepreneurial opportunity
Who are we looking for?
• Intelligent: You can understand and communicate complicated information clearly, we provide a complicated service to our clients and you will need to make it simple for them
• Coachable: You absorb and apply coaching well, because in our rapidly evolving business you're going to have to learn fast
• Work Ethic: This is a ground floor growth opportunity; we've got a lot of work to do
• Startup Mentality: You think outside of the box, remain calm under pressure, and are unfazed by quickly changing responsibilities
• Strong Relationship Development Skills: Client and internal relationships are the keys to our success — we want a person of high integrity
What is your background?
• At least Bachelor's degree in economics or finance
• Experience in finance, sales, or China capital market (any industry)
• Speaks and reads Chinese
What will you do?
• Become an expert in China's capital market
• Generate new business consistently via qualified inbound leads as well as external prospecting
• Build relationships with prospects and internal stake holders to grow new business
• Provide training on our Wind Financial Terminal for our clients
• Constantly grow yourself as we prepare the next generation of leaders for our company
Contact us
Please send your resume to resume.us@wind.com.cn cc jliu.loretta@wind.com.cn by Feb.22 2019
Job details
Type: Full-time
Job Function: Business Development, Sales, Finance
Industry: Information Services, Financial Services, Information Technology & Services
Working permit: US Citizen/Green Card Holder preferred, also sponsor H1B
万得纽约客户经理招聘
2019年2月20日
万得作为国内首屈一指的金融数据平台，正在扩充北美市场团队。我们真诚期待踏实能干的人才，随万得海外团队一起成长。万得的北美客户涵盖头部公募基金、对冲基金、私募基金、政府、高校、智库等，我们的产品包括自主版权的金融数据信息类软件、参考数据服务及解决方案。
工作职责
•通过拜访客户，了解用户体验以及对产品的最新需求；
•针对客户需求进行产品的相关培训，帮助客户更好的掌握产品使用方法；
•维护客户关系，加强与客户的沟通交流；
•处理客户在产品的使用过程中遇到的问题；
•成为中国资本市场的专家
•与潜在客户和内部利益相关者建立关系，以发展新业务
选择万得的原因
•万得信息技术股份有限公司（Wind）是中国大陆领先的金融数据、信息和软件服务企业：
- 90％以上的中国金融机构投资者已经是万得的客户
- 70%以上的证监会审核的喝个境外机构投资者（QFII）是万得的客户
•如果您希望在全新的市场中实现巨大增长 ，这是 一个您能施展才华且有着无限成长空间的跨境机会
希望您可以
•踏实肯干：您可以清楚地理解和交流复杂的信息，我们为客户提供全面的服务，希望您可以简化他们让客户能理解。
•适应性强：您可以很好地在不同环境中吸收和应用新学习得内容，因为在一个快速发展得行业中中，您需要快速学习。这是一个很好的创业机会；我们有很多工作要做。
•道德高尚：您在处理繁杂客户问题过程中，需要时刻秉持最高的职业道德操守，对客户、雇主、资本市场及自己负责。
•良好心态：希望您在压力下可以保持冷静，并且不会因为迅速改变责任而感到不安
•善于沟通：维系客户是我们成功的关键 - 我们需要一个积极主动、诚信正直的人。
职责要求：
•经济学或金融学学士学位
•金融，销售或中国资本市场（任何行业）的经验
•流利的英语和普通话沟通、读写能力
简历投递：
请在2019年2月22日前将简历发送至resume.us@wind.com.cn 并抄送 jliu.loretta@wind.com.cn
职位细节：
•类型：全职
•职能：业务开拓，销售，金融
•行业：信息服务，金融服务，信息技术和服务
•身份：绿卡优先，条件优秀者赞助H1B
About Wind
Headquartered in Shanghai Lujiazui, Wind Information is the leader in China’s financial services industry. We are committed to providing accurate and real-time information and communication platforms to investment professionals.
Accolades
Founded in 1994, Wind Information has been the winner multiple times in Key Software Enterprise Accreditation within National Programming Layout, Shanghai High-Tech Enterprises, Shanghai Technology Giant Enterprises, Shanghai Innovative Service Industry Enterprises, and more.
Industry Leader
In the past 24 years, Wind has grown into the industry standard in China’s financial data services. Currently Wind serves more than 90% institutional investors in China, and has also developed clients globally. As a leader in financial information services, Wind continues to break through and strive to lead the industry innovation.
Our Resources
- Over 100 billion RMB market size of China’s financial information service industry
- 20 times growth in work force, and 100 times growth in business in the past 20 years
- Over 3000 employees, with internal R&D team
- Systemized training platform, perfect environment for financial services, computer science, and internet multi-discipline talents
- Broad space for career development, thoughtful career advancement guidance, and competitive salary
- Headquartered in Shanghai Lujiazui, with over 40 branch offices in Beijing, Shenzhen, Nanjing, Hong Kong, New York, London, and more.
Join Us!
We are looking for passionate and intelligent people to join us. Please refer to the detailed job descriptions and contact us at resume.us@wind.com.cn
关于万得
万得信息技术股份有限公司（下称：Wind）是中国大陆领先的金融数据、信息和软件服务企业，总部位于上海陆家嘴金融中心。
行业龙头
在国内市场，Wind的客户包括中国绝大多数的证券公司、基金管理公司、保险公司、银行和投资公司等金融企业；在国际市场，已经被中国证监会批准的合格境外机构投资者（QFII）中的众多机构是Wind的客户。同时国内多数知名的金融学术研究机构和权威的监管机构也是我们的客户，大量中英文媒体、研究报告、学术论文等经常引用Wind提供的数据。
产品简介
在金融财经数据领域，Wind已建成国内完整、准确的以金融证券数据为核心一流的大型金融工程和财经数据仓库，数据内容涵盖股票、基金、债券、外汇、保险、期货、金融衍生品、现货交易、宏观经济、财经新闻等领域，新的信息内容及时进行更新以满足机构投资者的需求。 针对金融业的投资机构、研究机构、学术机构、监管部门机构等不同类型客户的需求，Wind开发了一系列围绕信息检索、数据提取与分析、投资组合管理应用等领域的专业分析软件与应用工具。通过这些终端工具，用户可以7x24x365从Wind获取到及时、准确、完整的财经数据、信息和各种分析结果。 精于数据，以数据为起点，Wind紧密跟随金融市场日新月异的发展，不断向新的领域发展，新的产品和服务战略不断在延伸。
加入我们
邀请有识之士，共创辉煌。
北美应聘请投递简历至： resume.us@wind.com.cn
| Division, Group or Department: Head Office Internal Audit Department, New York Branch Legal & Compliance Department |
| Purpose of Job: This position is primarily responsible to the Bank’s Head Office Internal Audit Department (“HOIA”) for its New York Branch’s (“Branch”) internal auditing coordination and reviewing of all functions performed by the outsourcing internal audit firm and the Branch management. This position coordinates with outsourcing internal audit firm and the New York Branch management to conduct internal audit for the Branch and reports to the HOIA results of the audits. Also responsible for the Branch’s compliance daily work as assigned by the Branch’s Head of Legal and Compliance Department. |
I. Primary Responsibilities:
Perform OFAC, BSA/AML related duties as assigned by the Branch’s Head of Legal and Compliance. |
II. Qualifications Required:
|
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