Global Chief Compliance Officer
The ideal candidate will be a highly regarded professional in the global compliance community who exemplifies the appropriate "tone from the top," an effective coach (leader/manager), and a team player. This candidate will have a reputation for impeccability and integrity as well as a track record of success in developing and implementing the compliance function across offices and jurisdictions. The candidate should be attuned to issues of reputational risk, and have demonstrated the exercise of sound judgment unvarnished by ego or by the momentum of immediate events. He/She will have significant experience leading a compliance function for a large financial institution, and interfacing directly with regulators. The individual will have proven his/her ability to develop and implement compliance solutions that are pragmatic,
effective and forward looking. The candidate will have significant project management experience in successfully designing and implementing multi-office, firm-wide compliance systems that take into account competing regulatory requirements and cultural contexts. The candidate will have a proven record of working successfully with individuals and constituencies from diverse backgrounds and cultures. He/She must be well versed in U.S. federal securities laws, the structure and operation of UCITS, and U.S., European and Asia-Pacific regulations governing the
marketing of funds and separate accounts. The candidate will possess a strong network of peers within the industry and be able to interpret regulatory changes and information and their relevance to the business.
Successful candidates will have a demonstrated ability to:
•Formulate and communicate a strategic vision for compliance, and to spearhead strategic projects and initiatives
relating to the compliance function globally and within key jurisdiction.
•Design, implement and enforce an effective global compliance function to ensure that Matthews' global investing is conducted in accordance with the firm's policies and applicable laws and regulations governing: portfolio management,
trading and soft dollars, marketing, personal trading (code of ethics) and other conflicts of interest, AML, pricing and valuation, market timing, late trading and other applicable laws and regulations.
•Lead, manage and develop a team in multiple locations with a high level of integrity and professionalism.
•Act as the primary contact with all regulatory bodies and as a liaison with external counsel and consultants on compliance matters.
•Keep abreast of, and anticipate changes in, regulatory regimes in each jurisdiction, and develop and lead projects to enhance compliance procedures, policies and internal controls as appropriate.
•Exercise excellent compliance and business judgment; to integrate compliance and business issues, and to partner with business leaders as well as with other key functional areas such as Portfolio Managers, Marketing Finance, Legal,
Marketing and Risk.
•Be highly organized and detail orientated; to solve complex problems in a collaborative manner.
•Manage, coordinate and conduct annual and periodic compliance assessments domestically and internationally; and spearhead the implementation of any recommendations.
•Design and conduct compliance training and monitoring.
QUALIFICATIONS:
This position requires:
•BA/BS and excellent oral and written communication skills.
•Minimum 15 years compliance experience within a global asset management company and at least 10 years in a senior
compliance leadership role with a SEC registered investment adviser ideally with $20 billion plus in assets under management.
•Expert knowledge of U.S. Investment Advisors Act of 1940, the Investment Company Act of 1940 and Securities Act of 1933;
and high familiarity with UCITS compliance and marketing laws in Europe, Hong Kong, and other Asia-Pacific jurisdictions.
•Familiarity with the Securities Exchange Act of 1934, FINRA rules and regulations and related European and Asia-Pacific regulations.
•Familiarity with transfer agent, fund administration, and custody functions.
Other Desirable Skills and Experience:
•Law degree.
•License or certificate as a compliance professional.
•Series 3, 6, 7, 63 or 65 licenses.
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