Total 5 general manager job vacancies in Quality Assurance / Control category in Hong Kong Island, Sheung Wan

• Assist in day-to-day compliance matters including trade surveillance work
• Provide compliance advice and support business initiatives
• Handle regulatory reporting and inquiries with the relevant Exchanges and Regulators
• Carry out compliance testing for securities brokerage and other related businesses
• Assist in internal and external audit, inspections and investigations from Exchanges and Regulators
• Assist in monitoring of regulatory changes and update the policies and procedures
• Manage internal and external audit, inspections and investigations from the auditors, Exchanges and Regulators
• Liaise and collaborate with different departments to formulate, drive and implement remediation of compliance issues
• Assist in ad hoc projects as required

• University/College graduate
• Relevant work experience in financial or securities industry is preferable
• Good command of written and spoken English and Chinese, proficiency in Putonghua is a privilege
• Proficiency in computer applications such as MS Office
• Responsible, hardworking, well-organized, and able to work under pressure
• A good team player with strong interpersonal and analytical skills

• Assist to supervise licensing related works and offer advice on licensing issues.
• Provide compliance advice to the different business units in relation to securities brokerage and wealth management business.
• Review and advise on legal and compliance contracts and documentation.
• Handle and implement compliance requests with internal stakeholders to enhance the internal controls and procedures as well as the system of the company.
• Manage internal and external audit, enquiries, regulatory filings, inspections and investigations from the auditors, exchanges and regulators.
• Conduct compliance training.
• Perform ad hoc compliance projects as assigned.

• Degree holder in Law, Business, Finance or related disciplines.
• Minimum 5 years of compliance experience in financial institutions, and fintech company experience is an advantage.
• Professional qualification on AML or compliance is an advantage.
• Sound knowledge in rules and regulations of Securities and Futures Commission and relevant regulatory requirements.
• Self-motivated, able to work independently, detailed oriented with good inter-personal skill and strong problem solving skills.
• Proficiency in written and spoken English and Chinese (including Putonghua).

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)

• Provide Regional Investment Compliance Coverage which include and not limited to the following -
• Pre-Trade Compliance –
• Provide real-time investment compliance advice on trading related matters e.g. ECM activities to front office and other business functions.
• Expert Network Calls Approval and Chaperone.
• Review of pre-trade controls exceptions and liaise with business functions to implement appropriate controls when required.
• Post-Trade Compliance –
• Working closely with stakeholders to ensure the firm’s compliance with trade reporting requirements in Asia e.g. Review daily positions/trades and submit necessary disclosures to issuers and/or regulators in accordance with substantial shareholding and short position reporting requirements.
• Surveillance – These include Personal Account Dealing monitoring, Market Abuse and Best execution monitoring.
• Maintenance of the Firm’s Restricted List.
• Advise front office and senior management on trading related market regulations in major markets within Asia from compliance perspective.
• Advise business functions on trading compliance related policies and controls, including handling of MNPI, market sounding/wall crossing and conflict issues.
• Handle requests and collate responses to various exchanges or regulators.
• Tracking of regulatory changes. This include assessment of regulatory and compliance risks inherent in the business activities and initiating, coordinating and delivering process enhancements where required.
• Compliance Trainings – Design and deliver training on regulatory, compliance policies and procedures to employees.
• Project Implementation – Assist in ad-hoc compliance related tasks and projects.

• 7-10 years relevant experience, preferably in an equity trading hedge fund or asset manager, major regulator, broker and/or compliance consultant.
• Very good working knowledge of the market regulations for trading related activities in Asia. Knowledge of market regulations in other jurisdictions would be advantageous.
• Prior experience in compliance advisory including investment compliance monitoring and post-trade surveillance.
• Depth of experience to manage a challenging workload and tight deadlines.
• A strong understanding of products across different asset classes, particularly equities, fixed income and their derivatives.
• Full spoken and written fluency in English.

Digital Asset Custody, globally, without compromise.

Zodia Custody is a FCA, CBI and CSSF registered Virtual Asset Service Provider (VASP), offering Digital Asset Custody services to Institutional Investors. Zodia Custody is a Venture backed by Standard Chartered Bank, Northern Trust and SBI Digital Asset Holdings based in the UK, Europe, Hong Kong, Australia, Singapore and Japan.

 We have ambitious plans to scale internationally, by way of internal and external growth. Zodia Custody has also partnered in Japan with SBI to launch the service in APAC and has plans to continue to expand in APAC and Middle-East. We aim to be the best in class in providing Crypto Custodian services.

Zodia Custody is an institution-first digital asset custodian that does not compromise on its control standards. We are regulation first in everything we do.  Within the Risk & Compliance departments, we are at the forefront of innovation and alongside our colleagues are engaged in safely developing Business Services to support the fast-structuring crypto-industry.  

The Risk and Compliance Teams are responsible for allowing the business to scale sustainably, whether it involves new markets, products, blockchains and more. Our Teams are involved in end to end processes to mitigate risks, including financial crime risks, and identification of areas of control weakness. We work directly with the business as key partners in driving control improvement.

 The teams are also responsible for identifying any gaps or weaknesses in Zodia’s adherence to applicable laws, regulations, rules and standards of self-regulatory organisations. Risk & Compliance play a key role in in ensuring key business processes help to manage risks enabling our businesses to continuously improve its risk management processes.

You’ll have the opportunity to work with both the Risk and Compliance teams, which are core teams to Zodia Custody’s success. You will help Zodia Custody in its mission to enable Digital Assets, without compromise.

What you'll be helping us with:

• Making sure Zodia Custody is compliant with risk frameworks, is continually improving these frameworks and is fostering a culture of assessment, challenge and monitoring  
• Continuing to expand, enhance and evolve our company-wide control landscape to meet regulatory expectations and deliver best in class services to our customers
• Scale the business to new markets and products

You'll spend your time:

• Challenging existing processes to ensure we are performing controls in line with and/or exceeding industry standards
• Assessing new products, clients, crypto assets/blockchains and geographies
• Executing design and operating effectiveness control tests to ensure that we have full, accurate picture of the effectiveness of the Zodia Custody-wide control landscape;
• Making recommendations to improve control effectiveness and/or identify where new controls are required;
• Identifying and monitoring risk exposure, as well as collaborating with other departments to develop and implement strategies to mitigate risk.
• Performing 'deep dives' (assurance reviews) on specific risks and/or across a series of related controls to make sure we have the correct control coverage in place and they are operating effectively.
• Managing and fostering positive relationships with key stakeholders across the three lines of defense

Above all, we are looking for people that are excited about helping Zodia Custody scale in a compliant, thoughtful and controlled way.

Key Stakeholders

• Chief Risk Officer
• MLRO/Chief Compliance Officer
• Head of Financial Crime Compliance
• Chief Security Officer
• Operations & Technology
• Regional and Country Heads

 You should apply if:

• You have at least 4 years experience working in a banking, or professional services firm in a risk function or a risk-focused compliance role in the second line of defense.
• You have a good understanding of industry control standards and practices;
• You have experience working in Digital Assets or else a strong passion for working in Digital Assets
• You are hands-on and great at execution;
• You're a self-starter and autonomous, able to make prioritisation decisions;
• You're a team player and collaborate well with other people;
• You're able to facilitate discussions and influence others to gather meaningful feedback and support on your work;
• You have experience managing multiple deadlines through to completion and have excellent attention to detail;
• You're resilient and comfortable working in a fast paced and ambiguous environment where the day to day job is constantly evolving and changing.

We offer a range of fantastic benefits including:

• Competitive employer contribution pension scheme
• Private health care
• Critical Illness cover
• Life Insurance
• 30 days annual leave
• Flexible bank holidays (can chose whether to work on bank holidays and use the leave elsewhere in the year)