Job Responsibilities Regularly update and maintain compliance policies Compliance housekeeping matters – Maintain accurate records and documentation..
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)
