Compliance Operations Coordinator
4 days ago
iCapital is a leading fintech platform serving the alternative investment marketplace. Our platform enables advisors, wealth management firms, asset managers, and banks to evaluate and recommend customized public and private market strategies for their high-net-worth clients.
We have made significant strides, with approximately $210 billion in global client assets invested in 1,690 funds, reflecting our commitment to innovation.
About the Role
Our Global Regulatory and Compliance Team is seeking a seasoned Compliance Officer to join us in Hong Kong. This role will be responsible for assisting with various regulatory activities at the firm level and for investment vehicles, working closely with other members of the APAC Regulatory and Compliance team.
The successful candidate will play a key role in supporting our APAC business by handling regulatory and compliance matters for iCapital's operations in APAC.
Responsibilities
- Develop and implement a compliance strategy and guidelines to support the firm's growth across APAC in a sustainable and compliant manner.
- Collaborate with senior management, colleagues, regulators, and external partners & stakeholders to identify risks to the firm and its clients, and mitigate them.
- Design and implement appropriate policies and procedures as well as internal controls, and test and monitor them to ensure that iCapital meets its regulatory obligations in APAC.
- Act as a trusted advisor to Senior Management, providing guidance and training on compliance topics as needed.
Qualifications
- 5+ years of experience in compliance, business controls, operations and regulatory experience with a financial entity regulated by SFC.
- Possess sufficient knowledge of regulations pertaining to SFC's Type 1, 4 and 9 license.
- General Compliance knowledge in AML/KYC, code of conduct, gifts and entertainment, personal account dealing, compliance monitoring, regulatory reporting etc., in Hong Kong.
- Able to work in a fast-paced environment and adapt to changing requirements.
- In-depth knowledge of cross-border rules and regulations in the APAC region is a plus but not essential.
- Proficiency in English for collaboration with head office and external, international stakeholders and suppliers. Chinese language capability is a plus.
We believe that innovation thrives in a collaborative environment. Employees in this role will work in the office four days, with the flexibility to work remotely on Friday.
For more information about iCapital, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
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