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Compliance Officer

4 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China iCapital Full time
Job Title: Compliance Officer

At iCapital, we are seeking a highly skilled Compliance Officer to join our team in APAC. The successful candidate will play a critical role in developing and implementing a compliance strategy that supports the firm's growth in a sustainable and compliant manner.

Key Responsibilities:
  • Develop and implement a compliance strategy that aligns with the firm's business objectives and regulatory requirements.
  • Work closely with senior management, colleagues, regulators, and external partners to anticipate and mitigate risks to the firm and its clients.
  • Design and implement policies and procedures, as well as internal controls, to ensure compliance with 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.
  • Strong 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.
  • Adaptable and entrepreneurial, with the ability to work in a fast-paced, growing, and constantly evolving environment.
  • Proficiency in English for collaboration with head office and external stakeholders, with Chinese language capability a plus.
Benefits:

iCapital offers a comprehensive benefits package, including a total compensation program, healthcare with 100% employer-paid health and dental insurance, and generous paid time off (PTO).