Job Responsibilities
- Regularly update and maintain compliance policies
- Compliance housekeeping matters – Maintain accurate records and documentation relating to compliance activities, including PA trading and conflicts
- Monitor and assess compliance risks associated with the company's activities
- 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 the latest regulatory requirements that apply to hedge fund business and implement such regulations with legal and operations departments as necessary
- Work closely with internal stakeholders to develop and implement compliance programs and initiatives
- Liaise with regulators for general enquiries and onsite inspections, and with auditors with respect to audits
- Regulatory reporting – Ensure and track compliance with relevant regulations, including CFTC, SEC, SFC related filings
- Manage PA dealings, conflicts of interests within the firm
- Participate in the firm’s Vendor Management process
- Administer the firm’s wall-crossing and travel policies
- Responsible for trade surveillance – pre and post-trade monitoring, trade error review, and trade incident investigation and reporting
- Bachelor's degree in a relevant field such as finance, business, or law
- Minimum of 7 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
- Previous experience in financial audit or with a regulator is a plus
- 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., CPA, CAMS, CFE, CRCMP) are highly desirable
- Fluency in English and Mandarin is required (Candidate speaking is a plus)
