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Senior Compliance Associate
2 weeks ago
Optima Partners is a global regulatory compliance advisory and consulting firm with offices in New York, London, Chicago, San Francisco and Hong Kong. We provide advisory/consulting services to hedge fund and private equity fund managers, broker/dealers and investment banks. The firm prides on acting as a trusted adviser to some of the most internationally recognizable alternative investment management names in the world. We have 1000 clients worldwide and growing. Hong Kong is a strategically significant office and we will serve the Asian offices of its global clients. Position Summary We are looking for a dynamic and enthusiastic consultant who will become a trusted adviser to some of the top names in the alternative investment management industry. As an established name that is growing in Hong Kong, the position offers huge potential for the right candidate to fast track their career by working directly with the Head of Asia as well as with clients who are senior C-suites in top fund managers. The Consultant has responsibility for assisting clients with registering and licensing new start-up investment advisers and their representatives with the Hong Kong Securities and Futures Commission (“SFC”), advising on investment management structures, global regulations, conducting mock SFC inspections and gap analyses, completing compliance policy and procedure reviews, and drafting reports and manuals that promote compliance with Hong Kong’s Securities and Futures Ordinance (“SFO”) and global regulations (SEC, CFTC, FCA to name a few). The opportunity to learn global regulations, namely the Investment Advisers Act (SEC), Commodities and Futures Commissions Regulations as well as European regulations applicable to alternative investment fund managers. Responsibilities Client management with top-tier asset managers in Hong Kong and Asia Managing the end to end cycle of licensing application with the SFC Assist companies with completing and submitting relevant notifications or other applications with the SFC Conduct mock SFC inspections, including overseeing and reviewing the work of the project team, preparing mock SFC inspection reports, and reviewing draft reports prepared by the project team Advising on compliance policy and procedure reviews Serve as relationship manager in supporting clients with their compliance questions and needs Conduct research to formulate Optima Partner’s positions on SFO-related compliance matters Conduct research, write articles, and/or make internal or client presentations and industry speeches on compliance-specific issues • Ability to succinctly identify and communicate required compliance advisory feedback, explain the regulatory basis for suggested changes to clients Ability to assist with compliance protocols and training regarding all compliance policies, procedures, examinations and audits Ability to independently review, interpret and share feedback / opinions for new regulations coming online Finds the answer to regulatory questions and explains the process and how certain conclusions were derived Assist Optima Partners in implementing “best practices” in all client-interfacing activities Dedicated to upholding Optima’s high quality standards and customer service focus Excellent time management skills with the proven ability to work under tight deadlines and be able to prioritize and manage multiple projects and assignments Required Qualifications and Experience Expert working knowledge of SFO regulations 4+ years of industry experience serving in a compliance advisory role Exceptional oral and written communications, as well as presentation skills Demonstrate good ability to write and speak English Cantonese and/or Mandarin is a plus Highly organized with keen attention to detail Excellent at problem solving, as well as effective decision-making skills Extremely strong analytical skills Highly motivated and goal oriented; proactive in one's own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks Demonstrate professional integrity Dependable, flexible and adaptable to changing client needs and Optima initiatives Ability to work well in a fast-paced, small team environment Seniority level Associate Employment type Full-time Job function Legal and Finance Industries Financial Services and Business Consulting and Services #J-18808-Ljbffr
