上海证券招聘(上交所招聘难进吗)

01

富达（Fidelity）

Head of Portfolio Compliance Monitoring

Hong Kong Office

Global Investment Compliance

The Global Investment Compliance (GIC) function provides advice, support and oversight to functions across Fidelity’s Investment Solutions and Services (ISS) business. Stakeholders include Fund Managers, Research Analysts, Trading Desks, Corporate Finance, Product, Institutional teams and their respective support groups. The Global Investment Compliance function comprises of Portfolio Compliance Monitoring, Investment Management Compliance Monitoring and Investment Compliance Advisory teams.

Portfolio Compliance Monitoring

The Portfolio Compliance Monitoring is a global Compliance function based in Hong Kong and India, and is part of FIL’s Investment Compliance department. The team is primarily responsible for establishing the control framework for all the retail and institutional investment products managed by FIL globally. The team performs End of Day (“EOD”) portfolio compliance monitoring for FIL managed funds as well as set-up and code portfolio restrictions and investment guidelines in compliance monitoring system (Charles River).

The Portfolio Monitoring team also provides compliance guidance and support to FIL’s investment professionals. This includes Portfolio Managers across all asset classes, Portfolio Support Groups, Investment Risk and Portfolio Analytics teams. The team also engages with FIL’s institutional services and product management teams and other support functions, including local country Compliance Officers, Legal and Investment Services teams globally.

Job Overview

Leading the Portfolio Compliance Monitoring function to ensure planning, delivery and execution of monitoring framework in an accurate, efficient and globally consistent manner. This includes leading the Portfolio Monitoring team's overall responsibility for accurately setting up portfolio guidelines and fund restrictions in the compliance monitoring system and the delivery of high-quality portfolio compliance, and assurance services across all funds and investment products managed by FIL globally.

Key Responsibilities

The ideal candidate will undertake these specific responsibilities:

Management and Leadership

Leading FIL’s Global Portfolio Compliance Monitoring team and consciously creating a workplace culture that is in line with Fidelity’s core values and behaviours.

Leading continuous development and ongoing management of Portfolio Monitoring framework for FIL to ensure delivery of high-quality monitoring and assurance across all funds and investment products managed by FIL globally in an efficient and effective manner.

Ensuring that the portfolio guidelines and corresponding restrictions are set-up in the compliance monitoring system in an accurate and timely manner.

Ensuring that where issues are identified and appropriate mitigating actions are recommended to the business and tracked through to completion.

Liaising with the broader Compliance team(s) to ensure emerging themes and monitoring review findings are incorporated into broader assurance reports and management information.

The identification, assessment and delivery of alternative resourcing and / or technology options with the aim of enhancing the overall effectiveness of the Portfolio Compliance Team.

Ensuring the function has appropriate policies, procedures and resources to deliver high quality Compliance support.

Contribute to the production of relevant management information in relation to the team’s monitoring activities. This includes working with the Global Head of Investment Compliance & Monitoring to understand how the delivery of reporting and MI can be achieved in a more efficient and consistent manner.

Partner with the Compliance advisory team to provides training to investment professionals on investment guidelines/restrictions for specific funds.

Research into regulatory developments and assesses monitoring implications on various investment products managed by FIL.

Participates and contributes positively to business initiatives (e.g. fund launches) and various ad-hoc projects.

Internal & External Relationships

Develop positive and professional working relationships with various internal stakeholders across investment management, institutional and other teams within the General Counsel area.

Maintain regular contact with industry experts to ensure FIL sustains best practice with regards to the delivery of monitoring activities.

Participate in and work with relevant industry bodies and groups in relation to monitoring and assurance initiatives, technologies, trends and proposals.

People Management

Retain, motivate and develop talent within the team to enable them to deliver on their responsibilities and create an environment in which people can do their best work.

Develop successors for all key roles and ensure career plans are in place for team members.

Define the role and objectives of direct reports and monitor performance and undertake performance management reviews for direct reports.

Ensure that the Portfolio Compliance team receive appropriate internal and / or external training on emerging monitoring and surveillance techniques.

As a senior member within the team, operate as a role model and leader within the function and actively support fostering a cohesive, creative, and efficient working environment within the team.

Emphasize quality, continuous improvement and high performance within the team.

Experience and Qualifications Required

Graduate with 10-12 years of practical experience in compliance with a fund management house or regulatory body.

Qualified lawyer, accountant or financial analyst (CA, CFA or equivalent) qualification preferred.

Expertise in creating Portfolio Compliance controls framework (using CRD or similar tools) is a must.

Established knowledge and expertise in relevant financial services regulation, including but not limited to product regulation and investment management regulation and variety of concepts, practices, and procedures related to investment management activities.

Effective communication and inter-personal skills. This role must be able to work with team members and internal stakeholders across various levels and in different offices/ locations.

Experience managing or mentoring junior staff.

Enjoys working in a dynamic environment for investments and trading activities.

Detail oriented with ability to produce accurate and well-structured reports according to deadlines.

Strong analytical skills, problem-solving ability and ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks.

Ability to work independently, strong self-motivation, organization, prioritization, time management and used to adapting to unforeseen changes.

Strong systems/PC skills to include basic programming skills and use of data extraction/analysis tools (e.g. Excel, Access, Business Object, Oracle).

应聘信息

本信息来自官网上海证券招聘：

https://fil.wd3.myworkdayjobs.com/en-US/001

02

华 泰 证 券

华泰创新投资公司 合规风控岗

工作地点：北京市

发布时间：2022-02-18

职位描述

1、参与拟投资项目的法律尽调上海证券招聘，出具法律尽调初步意见上海证券招聘；

2、对各类合同及相关投资交易文件进行初审上海证券招聘；

3、负责日常和不定期的监管及集团合规报送文件的起草和报送；

4、负责华泰创新日常合规管理工作上海证券招聘，配合合规风控负责人构建合规体系及合规检查。

任职要求

1、国内外重点高校硕士研究所及以上学历，法律相关专业，具有律师资格；

2、知名律师事务所3-4年左右私募股权投资交易律师工作经验；

3、沟通能力强，拥有良好的团队协作意识，对金融科技领域有较深了解者优先。

风险管理部 业务操作风险及内控管理岗

工作地点：南京市

发布时间：2022-02-16

职位描述

1、负责推动并协助自营/IT条线开展操作风险主动识别梳理并对控制措施的适当性及有效性进行评估，针对高剩余风险领域形成缓释或接受方案，推动自营上中下游流程串联诊断及梳理，协助并推动自营条线对重要控制措施进行系统流程固化；

2、负责完善自营/IT条线重要操作风险的实时发现及监测；协助自营/IT条线设置操作风险关键风险指标并开展指标监测工作；

3、负责协助自营/IT条线梳理授权管理体系及并对授权事项进行风险评估；

4、负责对自营/IT条线重要操作风险点及控制执行情况进行检查，针对发现的问题及缺陷督促落实整改；

5、负责收集、分析公司自营/IT条线操作风险损失事件并督促完善操作风险应对措施，分析自营/IT条线事件分布并形成管控建议；

6、负责参与并识别评估公司创新业务中涉及自营条线的重要操作风险点，负责重要信息系统需求及重要变更的风险管理评审，包括在新产品新业务系统或存量业务重大系统变更上线评审中的风险管理评审；

7、负责更新完善集团自营条线的共性操作风险点库及控制措施参考库；

8、负责评估信息系统与相关业务恢复目标和恢复策略制定的合理性，对公司容灾方案、应急预案、应急演练等相关管理机制从人员、流程、制度等方面提出风险管理建议，确保与公司整体风险管理策略保持一致；负责推动公司业务连续性体系建设及完善；

9、负责与公司自营/IT条线建立定期沟通机制，定期检视操作风险管理的重点难点，加强重点领域的操作风险管理，以适应内外部管理要求。

任职要求

1、全日制硕士研究生及以上学历，具有FRM证书优先；

2、有5年以上自营/IT条线工作经验，其中：自营条线需具备场外金融衍生品（含权益类及FICC）产品设计、投资交易等实践经验，熟悉自营业务条线内外部各项管理规定及各项业务流程；IT条线需具备信息技术管理、信息技术运维及外包管理、信息安全管理等相关经验，熟悉信息系统项目管理全流程，掌握信息技术风险管控措施，熟悉信息技术条线国际和行业相关管理规定及要求，熟悉公司内部信息技术条线各项管理要求；

3、具有较强的逻辑思维能力、创新能力、研究能力及责任意识，具有良好的沟通能力、文字处理能力、敬业精神及团队协作意识；善于主动思考和行动，乐于解决具有挑战性的问题，具有独立开展工作能力。

风险管理部 金融产品风险评估岗

工作地点：南京市,上海市

发布时间：2022-02-10

职位描述

1、参与私募金融产品的风险审查，复核产品风险等级，出具产品及管理人风险审查意见及评审报告；

2、搭建金融产品风险评估模型，完善产品评价标准，实现产品智能化风险评估；设计产品及管理人存续期风险监测指标，跟踪产品风险并及时发出风险预警；

3、梳理完善金融产品全流程各环节，识别全流程的风险点并完善风险控制措施，设计整体业务的风险管控指标体系，完善金融产品全流程的内部控制及风险管理效果；

4、审核金融产品业务相关的制度、业务方案等，撰写风险评估方案，及时跟踪解读政策变化。

任职要求

1、硕士及以上学历，3年及以上工作经验；

2、熟悉权益、固收、收益凭证等市场上的金融产品和理财工具，对金融产品评价的定性及定量方法有较深入的研究，了解大类资产属性、资产配置方法；

3、熟悉市场上的产品管理人及投资策略，掌握不同类型的产品结构、风险特征等，熟知金融产品业务相关的政策法规，能较为准确的判断产品风险；

4、具备研究能力，有数据分析或模型搭建背景优先，能够研究产品风险评估模型、完成产品业绩归因及产品风险数据的深度分析等；

5、具备较强的风控意识和分析能力，了解风险管理的基本方法和工具，能较为细致、深入梳理业务流程及风险点，拟写各类风险评估报告；

6、认真细致，工作严谨踏实，有较强的团队合作精神和稳定性。

03

混 沌 天 成

【岗位名称】合规风控专员/经理

岗位职责：

1、负责完善公司资管业务风险管理体系，并跟踪推进风险管理规划落地；

2、负责完善公司风险管理指标，维护风险监控系统中相关阈值设置，定期制作及改进公司风险管理相关报表，并针对所发现的风险事件及时进行报告；

3、负责定期对公司各类产品进行压力测试，并依照公司业务发展及相关法规要求更新压力测试模板；

4、负责组织召开公司投资决策会议，针对决议相关内容（包括但不限于产品方案确定、信用债债券入池等事项）提出风控意见；

5、负责完成各类监管定期报告；

6、负责各产品业绩数据分析，定期出具业绩分析报告；

7、负责审核包括公司资产管理合同、信息披露文件、监管报送文件、日常公司运营文件等公司各类协议及文本。

任职要求：

1、重点院校经济、金融、会计、法律等相关专业，本科及以上学历，硕士优先；

2、具有一年及以上相关岗位工作经验（根据经验匹配职级）；

3、具有良好的数据处理能力，较强的数字敏感度；

4、熟练使用EXCEL，掌握Python、VBA等编程语言优先；

5、具有较强的学习能力、逻辑思维能力、沟通协调能力、良好的抗压能力和多任务处理能力；

6、品行端正，具有较强的责任心与团队精神。

应聘信息

本信息来自委托发布

请将简历备注“姓名+岗位”发送至hr@chaosinv.com

联系方式：021-61063216

工作地点：上海

04

上海星瀚律师事务所

招聘岗位：专职律师（知识产权方向）

工作地点：上海市长宁路1193号长宁来福士广场T3办公楼7层

工资待遇：月薪13K-16K、年终奖

任职要求：

1.国内外知名院校法学专业硕士学历，本科或硕士期间主修知识产权专业优先；

2.具有2-3年法律工作经验，并已取得律师执业证，从事知识产权业务为佳；

3.具备法律英语应用能力，能用英语收发邮件，撰写汇报材料；

4.具有优秀的办案能力和良好的工作习惯，认真细心，看重执业声誉，愿意投入钻研；

5.具有创新精神、团队合作精神，责任心强，抗压能力强。

申请方式：

1.简历请投递hr@ricc.com.cn，抄送：huangpulu@ricc.com.cn及jiannana@ricc.com.cn;

2.邮件标题为“姓名+专职律师+知识产权”，同时请在邮件中注明能否适应工作日加夜班，并简述自己为何满足所述岗位要求。

05

杭州捷配信息科技有限公司

岗位概览

【岗位名称】法务总监

【工作地点】浙江

岗位职责

1、参与公司投融资项目商业谈判，配合外聘团队开展尽职调查、审查各类合作协议以及决议文件；

2、根据相关法律法规、监管要求和公司规章制度，针对集团公司（含子公司）提出的业务咨询问题或需求;

3、负责或参与起草、审核、修改集团公司（含子公司）各类法律文件（包括但不限于合同、协议、公函、决议及规章制度等文本）。

任职要求

1、5年以上相关岗位工作经验，全日制本科及以上学历，法律相关专业，具有律师执业证者优先。

2、对企业常用的《民法典》、《公司法》、《劳动合同法》等政策法规有较深的理解；

3、具有投融资项目经验和企业法务工作经验，有一定的风险识别与风险控制经验。

来源/网络招聘平台

仅供参考