Key Responsibilities
- Assist in developing, implementing, and maintaining robust compliance policies, procedures, and controls tailored to venture capital/private equity activities, fund management, and cross-border investments.
- Monitor fund trading and personal account dealing and maintenance of restricted list.
- Conduct and monitor expert network calls/chaperoning, NDA review, and testing of ethical walls between private and public funds.
- Provide compliance guidance and training to investment teams, operations, and portfolio companies on regulatory matters, conflicts of interest, insider trading prevention, and ethical standards.
- Prepare and submit regulatory filings, reports, and attestations in various jurisdictions as required (HK SFC and DI filings, US SEC filings, MAS filings/reports, CIMA filings, etc.).
- Collaborate with internal teams (Legal, Finance, Investment) and external advisors to address compliance issues.
- Support incident management, investigations, and remediation of compliance breaches or regulatory inquiries.
- Contribute to the firm's compliance culture through proactive monitoring, testing, and reporting to senior management.
Qualifications & Experience
- Bachelor's degree; law degree a plus
- 4-7 years of relevant compliance experience, ideally in venture capital, private equity, asset management, or financial services firms (experience in Hong Kong or with SFC-regulated entities is a strong advantage).
- Solid understanding of Hong Kong regulatory framework (SFC licensing requirements for Type 9 regulated activities), as well as international standards (FATF, OFAC, EU sanctions, etc.).
- Strong analytical skills with attention to detail; ability to identify risks and propose practical solutions in a fast-paced environment.
- Native or near-native proficiency in English and Mandarin
