Overview:
We are seeking a highly experienced and detail-oriented Compliance professional to join our team as a Vice President or Director. This role will be responsible for overseeing both regulatory compliance under the Securities and Futures Commission (SFC) and investment compliance, including pre- and post-trade monitoring. The ideal candidate will have a strong understanding of the hedge fund regulatory landscape in Hong Kong and a proven track record in managing compliance frameworks in a fast-paced investment environment.
Key Responsibilities:
Regulatory Compliance (SFC):
- Ensure the firm's operations comply with all relevant SFC regulations and licensing requirements.
- Maintain and update compliance policies and procedures in line with regulatory developments.
- Act as a key point of contact for regulatory inquiries, inspections, and audits.
- Prepare and submit regulatory filings and notifications to the SFC.
- Conduct internal compliance training and promote a strong compliance culture across the firm.
Investment Compliance:
- Oversee pre- and post-trade compliance monitoring to ensure adherence to investment guidelines, restrictions, and regulatory limits.
- Review and monitor trading activities for potential breaches or irregularities.
- Collaborate with portfolio managers, traders, and operations to resolve compliance issues in a timely manner.
- Maintain and enhance compliance monitoring systems and tools.
- Support new product launches and strategy changes from a compliance perspective.
Requirements:
- Bachelor's degree in Law, Finance, or a related discipline; legal or compliance qualifications preferred.
- Minimum 8-12 years of relevant experience in regulatory and/or investment compliance, ideally within a hedge fund or asset management environment.
- Strong knowledge of SFC regulations and licensing requirements (Type 9 license preferred).
- Familiarity with investment products, trading strategies, and portfolio management processes.
- Experience with compliance monitoring systems and tools (e.g., Bloomberg AIM, Charles River, or similar).
- Excellent communication skills and ability to work independently in a dynamic environment.
- High level of integrity, discretion, and attention to detail.
