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Regulatory Compliance Officer

2 months ago

Hong Kong, Central and Western District, Hong Kong SAR China Infini Capital Management Limited Full time

Key Responsibilities

  • Continuously review and refine compliance protocols to ensure they meet industry standards.
  • Oversee compliance documentation, ensuring precise record-keeping of all compliance-related activities.
  • Evaluate and mitigate compliance risks linked to the organization’s operations.
  • Facilitate compliance training sessions for staff to bolster their understanding of regulatory requirements.
  • Examine and authorize marketing and client communication materials to guarantee adherence to compliance standards.
  • Conduct periodic compliance evaluations and audits to detect potential compliance issues and recommend corrective measures.
  • Stay informed about the latest regulatory developments affecting the hedge fund sector and collaborate with legal and operational teams for implementation.
  • Collaborate with internal teams to design and execute compliance initiatives and programs.
  • Engage with regulatory bodies for inquiries and inspections, as well as with auditors during audit processes.
  • Ensure compliance with relevant regulatory filings and maintain accurate reporting for CFTC, SEC, and SFC regulations.
  • Oversee personal account transactions and manage conflicts of interest within the organization.
  • Participate in the Vendor Management process to ensure compliance standards are upheld.
  • Administer policies related to wall-crossing and travel for compliance purposes.
  • Responsible for monitoring trading activities, including pre- and post-trade surveillance, trade error analysis, and incident reporting.

Qualifications

  • A Bachelor’s degree in finance, business, or law is required.
  • A minimum of 7 years of compliance experience in the financial sector, ideally within hedge funds or asset management.
  • Comprehensive understanding of relevant regulations and compliance laws, including SFC regulations.
  • Experience in financial auditing or regulatory bodies is advantageous.
  • Strong analytical skills and problem-solving capabilities.
  • Exceptional communication and interpersonal skills for effective collaboration with stakeholders and regulators.
  • Detail-oriented with the capacity to manage multiple priorities efficiently.
  • Professional compliance certifications (e.g., CPA, CAMS, CFE, CRCMP) are highly regarded.
  • Proficiency in English and Mandarin is essential; Cantonese is a plus.