Senior Associate, Compliance
1 week ago
Overview Join to apply for the Senior Associate, Compliance role at HarbourVest Partners . This position reports to the Head of Asia Compliance, based in Singapore. The role is based in Hong Kong and follows a hybrid work arrangement, with a minimum of 3 days per week in the office. HarbourVest is an equal opportunity employer. The description reflects HarbourVest’s commitment to an inclusive environment that promotes mutual respect among all employees. What you will do Ensure compliance with all applicable regulatory requirements in Hong Kong, especially around Type 1, Type 4, and Type 9 license requirements (e.g., maintain the relevant licenses, timely filing of regulatory reports and surveys, management of ad-hoc regulatory inquiries/inspections, risk management practice). Monitor and review compliance with regulatory requirements and internal policies. Keep track of regulatory changes/developments in Hong Kong, assess impact, and consider implementation for HarbourVest. Develop, implement, and maintain compliance policies, procedures, and controls. Liaise with regulatory authorities, auditors, and represent the firm in regulatory matters. Provide compliance advice to front office, operations, and senior management on new products and business initiatives, cross-border, etc. Conduct regular compliance training to employees. Review marketing and client communication materials in both English and Chinese, ensuring accuracy, compliance, and alignment with regulatory standards. Conduct regular compliance reviews and risk assessments to identify and mitigate potential regulatory risks and design mitigatory controls/processes; perform testing and monitoring activities. Perform employee activities review, monitoring and reporting (e.g., personal trading, gifts and entertainment, outside business activities, political contributions). Co-ordinate corporate secretarial work such as board meetings and relevant filings. Assist in regional compliance matters and other regional regulatory/compliance duties as required. What you bring Strong working knowledge of SFC rules and regulations in Hong Kong. Experience dealing with SFC regulatory inspections and licensing processes. Excellent written and oral communication skills in English. Proficiency in written and spoken Mandarin is essential as the role involves reviewing Chinese-language marketing materials. Problem-solver with a cross-functional perspective; ability to work independently and as part of a collaborative team. Proven experience presenting, interacting, and building effective relationships with professionals, including executive management. Ability to adequately document all work with attention to detail. Education Preferred Bachelor’s degree (ideally in Law, Finance or Business or Accounting or related) with equivalent experience Experience 5-7 years of demonstrated experience in compliance, regulatory affairs, or a related capacity at an asset management firm / financial services industry with specific exposure to SFC Type 1, 4, and 9 regulatory requirements Seniority level Mid-Senior level Employment type Full-time Job function Legal Industries Venture Capital and Private Equity Principals #J-18808-Ljbffr
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