Asset Management and Hedge Fund Compliance Manager
What you will do:
● Supporting the Chief Operating Officer in all compliance matters, including general compliance, investment compliance and AML regarding Asset Management business;
● 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, counsel and fund administrator to review PPM and other fund setup documents;
● Facilitate the onboarding process with prime brokers and prepare onboarding documents;
● Oversee and liaise internal legal counsels and compliance team members in different jurisdictions, e.g. Hong Kong, US and mainland China, to deal with compliance matters within the whole group;
● Liaising with external parties regarding compliance matters, including external compliance consultants, auditors, law enforcement and regulators;
● Coordinate with accounting teams in different jurisdictions to prepare and review financial resources statement, e.g. FRR in Hong Kong;
● Perform compliance reviews and risk assessments to identify and address gaps; and
● Liaise with regulators on handling SFC Type 4 and 9 licensing, inquiries, and ongoing reporting requirements.
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;
● At least 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;
● 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.
Senior candidate with SFC Type 4 & 9 RO license (conditional or unconditional) will be considered as Head of Compliance.
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