Job Responsibilities
- Develop and implement compliance policies and procedures to ensure adherence to relevant laws and regulations
- Monitor and assess compliance risks associated with the company's activities
- Responsible for trade surveillance – pre and post-trade monitoring, trade error review, and trade incident investigation and reporting;
- Conduct compliance training programs for employees to enhance awareness and understanding of compliance obligations
- Review and approve marketing materials, client communications, and other externally facing documents to ensure compliance
- Perform regular compliance audits and assessments to identify potential issues and implement corrective actions
- Keep abreast of regulatory developments and update senior management on potential impacts to the business
- Work closely with internal stakeholders to develop and implement compliance programs and initiatives
- Liaise with regulators and external auditors during inspections and audits
- Bachelor's degree in a relevant field such as finance, business, or law
- Minimum of 5 years of experience in compliance within the financial industry, preferably in hedge funds or asset management
- Sound knowledge of applicable regulations and laws, such as SFC regulations
- Strong analytical and problem-solving skills
- Excellent communication and interpersonal skills to effectively liaise with stakeholders and regulators
- Detail-oriented with the ability to handle multiple tasks and prioritize effectively
- Professional certifications in compliance (e.g., CAMS, CFE, CRCMP) are highly desirable
- Fluency in English and Mandarin is required
- Private Health Insurance
- Pension Plan
- Performance Bonus
- Training & Development
- Paid Time Off
