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Compliance Manager

3 months ago

Hong Kong, Hong Kong SAR China Larson Maddox Full time

CLIENT BACKGROUND
Our client is an established Hedge Fund in the APAC Region. We are looking for a candidate for Legal or Compliance experience.

JOB RESPONSIBILITY

As a Compliance Manager, you will be responsible for overseeing all aspects of compliance for our hedge fund operations. This includes:

  • Developing, implementing, and maintaining compliance policies and procedures to ensure adherence to all applicable laws, regulations, and industry best practices.
  • Conducting risk assessments and audits to identify potential compliance gaps or weaknesses.
  • Providing compliance training and guidance to investment, operations, and client-facing teams.
  • Serving as the primary point of contact for regulatory bodies and responding to information requests or examinations.
  • Staying up-to-date on changes in financial regulations and advising the firm on the potential impact.
  • Collaborating with Legal, Finance, and other departments to ensure holistic risk management.
  • Documenting compliance activities and preparing comprehensive reporting for senior management.

JOB REQUIREMENTS

  • 5-8 years of demonstrated experience in a compliance role within the hedge fund or broader asset management industry, preferably with significant experience in Hong Kong and/or the Asia-Pacific region.
  • In-depth knowledge of Hong Kong's financial regulations, including the Securities and Futures Ordinance (SFO), the Fund Manager Code of Conduct, and other relevant laws and guidelines.
  • Strong understanding of hedge fund operations, investment strategies, and risk management principles, with the ability to apply this knowledge in an Asian context.
  • Excellent analytical and problem-solving skills, with the ability to identify and mitigate compliance risks.
  • Proficient in the use of compliance and risk management software tools, including those specific to the Hong Kong and regional markets.
  • Outstanding communication and interpersonal skills, with the ability to effectively interact with all levels of the organization, including senior management.
  • Bachelor's degree in Finance, Accounting, Business, or a related field; advanced degree or professional certification (e.g., CRCM, IACCP) is preferred.
  • Fluency in English and Cantonese or Mandarin is required.