Our client is a well-established Asset Management/Hedge Fund firm. They're seeking a high calibre Regulatory Compliance professional, with experience within compliance in the buy-side. For the right candidate, the benefits are endless – competitive pay, excellent career progression, and training and reskilling provided in a progressive and supportive work environment.
Sitting within the Compliance Department and reporting to the Chief Compliance Officer, the role is responsible for all day to day compliance and regulatory matters for the firm. This compliance hire will be the main individual tasked with maintaining and developing the firm’s regulatory compliance policies and procedures to ensure compliance with evolving rules and regulations.
This is also an advisory role, with particular focus on business compliance and regional/cross-border compliance matters. This individual is also expected to handle ad-hoc compliance projects and licensing matters.
Because it's a managerial role, you will receive lots of independence and autonomy. You will also be responsible for, among other things, devising compliance policies and procedures, overseeing their implementation, providing compliance training and advisory to business and management, and raising compliance awareness within the firm.
This role is based in Hong Kong.
Maintaining compliance regulations and alignment within the company
Advising the business and/or management on regulatory developments impacting the firm’s day-to-day operations
Day to day tasks include:
Regulatory filings, including but not limited to SFC and SEC filings, including all forms of SFC licensing obligations, substantial shareholder filings, Form ADV, etc.
Trade compliance and monitoring
Review and updating of manuals, guidelines, policies and handbooks, in alignment with relevant regulatory rules and regulations.
Establish, implement and enforce relevant internal policies and procedures by the respective officers and employees in accordance with applicable external legal, regulatory, codes, policy and procedural requirements.
It is important to stress that the above description is for reference only; the role is dynamic. Although the focus is on Regulatory Compliance, there may be opportunities for the role to evolve according to the individual’s interests and abilities.
4-7 years of regulatory/compliance experience, preferably with buy-side compliance experience
Proactive individual, quick-learner, ability to work alone with minimal supervision, whilst also willing and able to fill in and take on more ad-hoc tasks for the team when necessary
Experience with SFC licensing and compliance
Experience with SEC and/or HKMA (ideal but not required)