APAC Regulatory Specialist
1 week ago
iCapital is a leading player in the alternative investment marketplace, leveraging its innovative financial technology platform to transform the way advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients.
iCapital has established itself as a reputable player in the fintech industry, having been recognized by Forbes for its contributions to the sector. Our team of experts works tirelessly to develop and implement effective compliance strategies that support the firm's growth across APAC.
About the Role
iCapital is seeking a highly skilled Compliance Officer to join its Global Regulatory and Compliance Team, based in Hong Kong. This role will involve supporting regulatory activities both at the firm level and for investment vehicles. The successful hire will play a key role in supporting iCapital's APAC business by handling regulatory and compliance matters for iCapital's operations in APAC.
Responsibilities
- Develop a comprehensive 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 potential risks to the firm and its clients and implement mitigation measures.
- Design and implement effective policies and procedures as well as internal controls to ensure that iCapital meets its regulatory obligations in APAC.
- Provide guidance and training to Senior Management on compliance topics as needed.
Qualifications
- A minimum of 5 years of experience in compliance, business controls, operations, and regulatory experience with a financial entity regulated by SFC.
- Possess thorough 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.
- Adaptable and entrepreneurial, able to work within the fast-paced, growing structure of a high-growth firm.
- Strong understanding of cross-border rules and regulations in the APAC region is beneficial.
- Excellent communication skills in English for collaboration with head office and external international stakeholders and suppliers.
We prioritize collaboration and flexibility. Employees in this role will work in the office four days, with the option to work remotely on Friday.
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