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APAC Regulatory Expert

3 weeks ago

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

iCapital is a pioneering financial technology company that powers the world's alternative investment marketplace. Our cutting-edge platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients.

We are seeking a skilled Compliance Officer to join our Global Regulatory and Compliance Team based in Hong Kong. This role will assist with a variety of regulatory activities both at the firm level and for investment vehicles.

Responsibilities:

  • Support the development of a compliance strategy and guidelines to support the firm's growth across APAC in a sustainable and compliant way.
  • Work closely with senior management, colleagues, regulators, and external partners & stakeholders to anticipate risks to the firm and its clients and mitigate them.
  • Develop and implement appropriate policies and procedures as well as internal controls, and test and monitor in the context of the business model to ensure that iCapital meets its regulatory obligations 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, regulatory reporting etc., in Hong Kong.
  • Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth firm.
  • 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 in fostering a collaborative environment where employees can thrive. As a Compliance Officer, you will be part of a dynamic team working together to achieve our goals.