CLIENT BACKGROUND
We are looking for a senior-level Legal & Compliance Officer to lead the firm's legal and regulatory functions. This role is critical to ensuring that company operates with the highest standards of integrity and regulatory compliance, particularly in the context of ECM transactions and hedge fund operations. The ideal candidate will bring deep experience in legal and compliance matters within the hedge fund industry, with a strong grasp of wall-crossing protocols and Asia-Pacific regulatory frameworks.
JOB RESPONSIBILITY
- Oversee all legal and compliance matters across the firm's investment and operational activities.
- Develop, implement, and maintain internal compliance policies and procedures in line with international regulatory standards.
- Manage wall-crossing procedures and ensure proper handling of material non-public information (MNPI) in ECM transactions.
- Provide legal and regulatory guidance on new product launches.
- Liaise with external counsel, regulators, and service providers on legal and compliance issues.
- Conduct internal compliance training and promote a culture of compliance across the firm.
- Monitor regulatory developments and assess their impact on the firm's operations.
- Oversee licensing, reporting, and audit processes with the SFC and other relevant authorities.
- Support client onboarding and KYC/AML processes in collaboration with operations and investor relations teams.
- Maintain legal documentation, compliance registers, and internal audit trails.
JOB REQUIREMENTS
- Minimum 12 years of compliance experience in hedge funds.
- Strong knowledge of ECM products and wall-crossing protocols.
- Strong hands-on experience with Enfusion is essential.
- Familiarity with relevant regulatory frameworks in Asia-Pacific.
- Experience working in a lean, entrepreneurial environment with direct exposure to senior management.
- Excellent communication and interpersonal skills, with the ability to influence and educate across teams.
- High level of integrity, discretion, and attention to detail.
