Overview:
Our client is seeking a Compliance Officer to support regulatory compliance and internal controls across their hedge fund operations. The role involves working closely with business teams to ensure adherence to SFC regulations and internal policies.
Key Responsibilities:
- Monitor regulatory developments and implement compliance measures aligned with SFC Type 9 requirements.
- Work with internal teams to ensure compliance programs are effectively executed.
- Lead and support regulatory initiatives, including:
- Climate-related risk management policies.
- China cross-border data transfer compliance.
- Investor risk profiling and suitability assessments.
- Conduct trade surveillance and prepare regulatory reports.
- Oversee expert network interactions and ensure proper monitoring.
- Manage control room functions, including personal account dealing and gifts/entertainment logs.
- Handle ad hoc compliance tasks such as filings, training, and policy updates.
- Support ESG-related compliance and operational risk initiatives.
Requirements:
- Bachelor's degree in Law, Finance, or a related field.
- At least 2-10 years of compliance experience in asset management or hedge funds.
- Strong knowledge of SFC regulations and compliance operations.
- Detail-oriented with strong communication and problem-solving skills.
- Ability to work independently in a fast-paced environment.
