Compliance Manager

3 months ago

Hong Kong, Hong Kong SAR China Strachan Clark Full time

This is an exciting opportunity to work in a growing and progressive company that is expanding their Compliance department in order to support the investment activities of the firm

The role reports to the Chief Operating Officer (who is responsible for all non-investment aspects of the business, including Compliance, Operations, and Investor Relations)

Responsibilities

  • Deal with regulatory inspections, ensuring company adheres to statutes and administrative regulations.
  • Prepare for annual internal compliance reviews and mock audits
  • Advise internal management and business partners on the implementation of compliance programs
  • Formulate policies and procedures and updating compliance manuals
  • Responsible for ensuring trades are carried out in accordance with policies, regulations and procedures
  • Manage relationships with regulatory bodies and serving as the primary contact with regulators
  • Prepare and submitting annual and quarterly regulatory filings
  • Assist clients in organization and maintenance of required books and records
  • Manage licensing matters and regulatory filings
  • Manage corporate documents and records of all management company and fund entities.
  • Assist in the formation of all new fund entities.
  • Assist in the account opening process for trading and related accounts and services for all funds and SPVs.
  • Develop and maintain knowledge and awareness of the investment industry, regulatory and/or policy changes with potential impact firms’ funds and operations.
  • Organise, prepare, and record keep (including meeting minutes) of all internal manager committees (Best Execution, Compliance, Risk, Conflicts, etc.).
  • Assist in drafting, reviewing and coordinating of board resolutions, deal transaction documentation, NDAs, engagement letters, contracts, fund offering documents, trading account agreements, etc.
  • Manage KYC & AML process for the firm – both for incoming requests from counterparties, and managing program to perform Due Diligence and KYC on its own counterparties and vendors.
  • Manage and maintain internal audit program for the investment manager (non-accounting audit) including HK “FMCC Review”.
  • Be the first point of contact in relation to all incoming legal-related enquiries such as NDAs, contracts, etc.
  • Monitoring and Surveillance, Wall crossing, Review and enhance compliance framework on Type 1, 4, 6 and 9 regulated activities

Requirements

  • 5-10+ years working experience
  • Experience with both HK and US Regulations advantageous (SEC & SFC), but can also be taught
  • Previous experience working for a buy-side or sell-side organisation, experience at a Compliance Service Provider.
  • Experience with inspections advantageous but can also be taught
  • Fluent English (required), Mandarin (preferred)
  • Detail minded with strong analytical skills
  • Strong verbal and written communication, presentation and interpersonal skills

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