Compliance Officer - US Hedge Fund (UK Relocation)

We are currently working with a global hedge fund which is one of the largest alternative asset managers in the globe that is US based. They are seeking HK compliance officers who are knowledgeable on FI/Bonds with HK trading knowledge to relocate to the UK. The ideal person will have compliance experience in the buy side and experience in regulatory compliance and trading compliance. Control room compliance experience would be a plus.

Sanderson-iKas - Hong Kong - Full time

Salary: HKD50000 - HKD90000 per month

Key Responsibilities

  • Regulatory Compliance: Monitor and ensure compliance with all relevant regulations, including SEC, FINRA, and other applicable laws related to fixed-income investments.
  • Policy Development: Develop, implement, and maintain compliance policies and procedures for fixed-income products, ensuring they align with industry standards and regulatory requirements.
  • Monitoring and Reporting: Conduct regular monitoring and testing of compliance programs and report findings to senior management. Prepare compliance reports and updates for stakeholders.
  • Training and Education: Develop and deliver training programs for investment teams on compliance standards, regulations, and best practices related to fixed-income investments.
  • Risk Assessment: Identify compliance risks associated with fixed-income products and work with relevant teams to implement corrective actions.
  • Collaboration: Collaborate with portfolio managers, traders, and other stakeholders to ensure compliance processes are understood and followed.
  • Audits and Reviews: Assist in internal and external audits, providing necessary documentation and responding to inquiries related to compliance matters.

Qualifications

  • Education: Bachelor's degree in Finance, Business, Accounting, or a related field. A master's degree or relevant certifications (e.g., CFA, CAMS) is a plus.
  • Experience: Minimum of 4-5 years of compliance experience within the buy-side investment management industry, with a focus on fixed-income products.
  • Knowledge: Strong understanding of fixed-income products, trading practices, and relevant regulatory frameworks.
  • Skills: Excellent analytical, organizational, and communication skills. Ability to work independently and collaboratively in a fast-paced environment.
  • Attention to Detail: Strong attention to detail with the ability to manage multiple priorities and deadlines.
  • Strong communication skills in English is a must

iKas International (Asia) Limited is providing recruitment services for this role.

Recruitment Licence Number: 56984

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