Compliance Manager, Alternative Investment
2 weeks ago
Job Overview:We are seeking a highly skilled Compliance Manager to join our client, an alternative investment manager. The ideal candidate will have a deep understanding of SFC rules and regulations, particularly as they relate to alternative investment products, including fund of funds, hedge funds, and private equity funds. This role is crucial in ensuring our firm's compliance with all regulatory requirements while supporting our business objectives.Key Responsibilities:Regulatory Compliance:
Monitor and ensure adherence to SFC rules and regulations, including reporting requirements and compliance obligations for alternative investment products.Policy Development:
Develop and implement compliance policies and procedures tailored to our investment strategies and products.Risk Assessment:
Conduct regular compliance risk assessments and audits to identify potential regulatory risks and recommend mitigation strategies.Training and Awareness:
Provide compliance training to staff and stakeholders to foster a culture of compliance within the organization.Reporting and Liaison:
Prepare and submit regulatory filings and reports to the SFC. Serve as the primary liaison with regulatory authorities.Product Oversight:
Review and assess compliance implications of new products and services, ensuring alignment with SFC regulations.Incident Management:
Investigate compliance breaches and issues, and implement corrective actions as necessary.Collaboration:
Work closely with legal, operations, and investment teams to support compliance initiatives and promote best practices across the firm.Seniority Level:
Mid-Senior levelEmployment Type:
Full-timeJob Function:
Accounting/Auditing, Finance, and LegalIndustries:
Investment Management and Financial Services
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