Compliance Officer

What you will do:

● Supporting the Compliance MIC in all compliance matters, including general compliance, investment compliance and AML regarding Asset Management business;
● Help carry out compliance monitoring activities in accordance with SFO/SFC requirements;
● Providing compliance advice to business units (quant researchers, operation and technology team, marketing team etc) and senior management;
● Reviewing and updating internal policies and procedures to ensure adherence with latest regulations and internal policies;
● Reviewing legal documents and marketing materials;
● Liaising with lawyers, auditors, and fund administrator for ongoing administration of the Fund in accordance with the fund’s PPM;
● Respond to inquiries from prime brokers and review relevant documents;
● Liaising with external parties regarding compliance matters, including external compliance consultants, auditors, law enforcement and regulators;
● Coordinate with accounting teams in to prepare and review financial resources statement, e.g. FRR in Hong Kong;
● Perform compliance reviews and risk assessments to identify and address gaps;
● Liaise with regulators on handling SFC Type 4 and 9 licensing, inquiries, and ongoing reporting requirements;
● Role is based in Hong Kong.

Qualities to make great candidates:

● University Degree in Law, Accounting, Finance or relevant disciplines;
● Have a good knowledge of SFC rules/regulations (e.g. Fund Manager Code of Conduct) in Hong Kong; knowledge of mainland China and SEC rules would be an advantage but not mandatory requirements;
● 0 - 3 years compliance experience in asset management/hedge fund/SFC licensed corporations. Knowledge of quantitative hedge funds would be an advantage. Candidates from professional services/regulators would also be considered;
● Fresh grads welcome;
● Organized and attentive to details;
● Self-motivated and able to work independently;
● Team player and good communicator; and
● Fluent in spoken and written English and Chinese.