Description

As a key member of the compliance team, you will play a crucial role in ensuring the firm's compliance with all regulatory requirements relating to its SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) activities. You will provide practical compliance guidance to the business, maintain the firm's compliance framework, and implement policies, procedures, and controls to manage regulatory risk. The role offers broad exposure across compliance advisory, regulatory monitoring, and interactions with investors, fund administrators, and other service provider.

Key Responsibilities

1. Oversee and manage all compliance matters relating to the Company's SFC Type 4 and Type 9 regulated activities.
2. Provide day-to-day compliance advice and guidance to management and business units on applicable regulatory requirements and compliance risks.
3. Maintain, review, and enhance compliance policies, procedures, controls, and monitoring programs to ensure compliance with SFC regulations and industry best practices.
4. Monitor regulatory developments and assess their impact on the business, ensuring timely implementation of regulatory changes.
5. Conduct compliance monitoring reviews, risk assessments, and thematic reviews across the business.
6. Handle compliance-related enquiries from fund administrators, investors, custodians, auditors, and other external service providers.
7. Support fund onboarding, investor onboarding, AML/KYC reviews, and ongoing client due diligence processes.
8. Assist in regulatory filings, notifications, and communications with the Securities and Futures Commission (SFC) and other relevant regulators.
9. Provide compliance training and promote regulatory awareness across the organization.
10. Investigate compliance incidents, identify control weaknesses, and recommend remedial actions.
11. Assist senior management in fostering a strong compliance culture throughout the organization.

Requirements

1. Over 3 years of compliance experience gained within an asset management firm, hedge fund, fund manager, private equity firm, family office, or financial institution.
2. Solid knowledge of Hong Kong regulatory requirements, particularly SFC Codes, AML/CFT requirements, Fund Manager Code of Conduct (FMCC), and relevant regulations applicable to Type 4 and Type 9 licensed corporations.
3. Experience handling compliance matters relating to funds, fund operations, service providers, and investors.
4. Prior experience reviewing and updating compliance policies and procedures.
5. Strong understanding of AML/KYC, regulatory reporting, and ongoing compliance monitoring.
6. Bachelor's degree in Law, Finance, Accounting, Business Administration, or a related discipline.
7. Excellent communication and stakeholder management skills.
8. Excellent written and spoken English and Cantonese and/or Mandarin.
9. Self-motivated, detail-oriented, and able to work independently in a dynamic environment.

If you are interested in exploring more of this role or other potential opportunities, let's connect today via WhatsApp or WeChat: +852 5424 6512.

Candidates not selected for this position may be considered for other opportunities that better align with their experience.

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