Senior Compliance Manager – Investment Manager

Responsibilities:

• Develop, implement, and maintain compliance policies and procedures for the investment division, in line with applicable laws, regulations, and SFC guidelines.
• Monitor and assess the division's compliance with regulatory requirements, including licensing, reporting, and ongoing obligations.
• Stay updated on SFC regulations, guidelines, and industry best practices related to alternative investments, and ensure effective implementation of regulatory changes.
• Conduct compliance risk assessments and reviews to identify potential compliance gaps or issues, and propose corrective actions as needed.
• Provide guidance and advice to management and employees on compliance matters, including the interpretation of regulations and internal policies.
• Assist in the development and delivery of compliance training programs to enhance awareness and understanding of compliance requirements.
• Oversee the compliance monitoring and testing program, ensuring that adequate controls are in place to mitigate compliance risks.
• Collaborate with internal stakeholders, such as legal, risk, and investment teams, to ensure compliance considerations are integrated into business processes and decision-making.
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Qualifications:

• Bachelor's degree in Finance, Business Administration, Law, or a related field. Relevant professional certifications (e.g., CAMS, CFA, CPA) are preferred.
• Extensive experience (7+ years) in compliance management within the funds industry, with a strong understanding of SFC regulations and requirements.
• Fluent Mandarin language skills, both written and verbal, to effectively communicate with Mandarin-speaking stakeholders.
• In-depth knowledge of investment products and related compliance considerations.
• Familiarity with SFC licensing requirements, reporting obligations, and ongoing compliance obligations.
• Excellent analytical and problem-solving skills, with attention to detail.
• Ability to work independently, manage multiple priorities, and meet deadlines in a dynamic environment.
• Strong ethical standards and a commitment to upholding the highest levels of integrity and professionalism.