APAC Regulatory Specialist

2 days ago


Hong Kong, Central and Western District, Hong Kong SAR China iCapital Full time

iCapital is a pioneering fintech company that has transformed the alternative investment marketplace.

Its financial technology platform enables advisors and wealth management firms to evaluate and recommend bespoke public and private market strategies.

iCapital operates globally, with over $210 billion in client assets invested in 1,690 funds.

The company has received numerous awards and recognitions, solidifying its position as a leader in the industry.

About the Role

iCapital seeks an experienced Compliance Officer to join its Global Regulatory and Compliance Team in Hong Kong.

The successful candidate will be responsible for handling regulatory and compliance matters in APAC, working closely with senior management and external partners.

Responsibilities

  • Develop and implement compliance policies and procedures to support the firm's growth across APAC.
  • Work with senior management to anticipate risks and mitigate them.
  • Implement internal controls and testing to ensure regulatory obligations are met in APAC.

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, and regulatory reporting.
  • Able to work within a fast-paced environment and adapt to changing regulations.

We believe the best ideas and innovation happen when we are together.



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