Global Compliance Professional

2 weeks ago

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

iCapital is revolutionizing the alternative investment marketplace through its cutting-edge financial technology platform. Our platform has transformed 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 received numerous accolades for its contributions to the fintech industry, including being named to the Forbes Fintech 50 for several years. Our team of experts works diligently to develop and implement effective compliance strategies that support the firm's growth across APAC.

About the Role

iCapital seeks 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 value collaboration and flexibility. Employees in this role will work in the office four days, with the option to work remotely on Friday.

  • Compliance and Risk Management Professional

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Global Consultancy Full time

    Global Consultancy Hong Kong is looking for a seasoned Compliance and Risk Management Professional to join our team. In this mid-senior level role, you will be responsible for developing and enhancing compliance policies, procedures, and frameworks, as well as conducting compliance monitoring, health checks, and regulatory audits.You will work closely with...

  • Financial Services Compliance Professional

    1 week ago

    Hong Kong, Central and Western District, Hong Kong SAR China Global Consultancy Full time

    Global Consultancy Hong Kong is seeking a highly skilled Financial Services Compliance Professional to join their team.The ideal candidate will have prior experience in compliance, consultancy, or regulatory affairs within financial services and a strong knowledge of SFC and HKMA regulations, particularly in asset management and fund services.Key...

  • Compliance and Risk Management Professional

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China ICBC Asset Management (Global) Full time

    Job OverviewWe are seeking a Compliance and Risk Management Professional to join our team at ICBC Asset Management (Global). This role will be responsible for managing and handling general compliance work, including licensing and on-going notification matters.Key ResponsibilitiesIndependently manage and handle general compliance work, including but not...

  • Compliance Advisory Professional for Global Markets

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Full time

    Ashford Benjamin is seeking a highly experienced Compliance Advisory Professional for Global Markets to join their team. In this role, you will provide expert advice and guidance on regulatory compliance matters to our global markets business, ensuring that all operations are conducted in accordance with relevant laws and regulations.You will be responsible...

  • Compliance Risk Management Specialist

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China DARMAX GLOBAL Full time

    Company OverviewDarmax Global is a leading global hedge fund with a dynamic and collaborative culture, dedicated to delivering exceptional investment results and fostering a culture of compliance throughout the organization.

  • Global Insurance Compliance Lead

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Gravitas Recruitment Group (Global) Ltd Full time

    Regulatory Affairs ExpertWe are seeking a highly skilled Regulatory Affairs Expert to join our team at Gravitas Recruitment Group (Global) Ltd. In this role, you will be responsible for providing strategic advice on regulatory compliance and ensuring that our organization remains compliant with all relevant laws and regulations.Main Responsibilities:Provide...

  • Senior Compliance Strategist

    1 week ago

    Hong Kong, Central and Western District, Hong Kong SAR China Cornerstone Global Partners Full time

    Cornerstone Global PartnersWe are seeking a seasoned professional to take on the role of Senior Compliance Strategist. As Managing Director of Compliance, you will be responsible for overseeing the compliance requirements for our company as defined by regulatory bodies.Key Responsibilities:Develop and implement effective compliance strategies to ensure best...

  • Compliance Risk Manager

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Global Consultancy Full time

    At Global Consultancy, we are dedicated to delivering exceptional service to our clients in the asset management and funds sector.The role of Compliance Consultant requires:Expertise in regulatory compliance and risk managementStrong analytical and problem-solving skillsExcellent communication and interpersonal skillsKey responsibilities include:Developing...

  • Global Regulatory Compliance Professional

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Da Cheng International Asset Management Company Limited Full time

    About UsDa Cheng International Asset Management Co. Ltd. is a leading asset management company, established in 2009 with a strong presence in the Hong Kong financial market.Job SummaryWe are seeking an experienced Global Regulatory Compliance Professional to join our team. As a key member of our compliance department, you will play a vital role in ensuring...

  • Global Compliance Strategist

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Chubb Life Full time

    This is an exciting opportunity for a seasoned compliance professional to join our team at Chubb Life.We are seeking a Global Compliance Strategist who will be responsible for enhancing and managing an effective compliance framework and program for corporate and distribution compliance.Develop and implement policies and programs that encourage managers and...

  • Global Markets Compliance Expert

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Full time

    About the RoleOur client, Ashford Benjamin, is a global investment bank based in Hong Kong. We are currently seeking a seasoned Regulatory Compliance professional to join our Global Markets team. The successful candidate will be responsible for providing expert advice on regulatory matters, reviewing new business initiatives, and ensuring ongoing compliance...

  • Ethics and Compliance Professional

    1 week ago

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

    Job Overview:We are looking for a dynamic compliance professional to play a key role in designing, administering, and supporting our global ethics and compliance program.The position reports into the Senior Manager, Ethics and Compliance and will be based in Hong Kong.

  • Compliance Regulatory Expert

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Global Consultancy Full time

    Company OverviewGlobal Consultancy Hong Kong is an established consultancy that offers driven individuals the chance to be part of a growing team.The organization has expertise in asset management and funds sector regulatory compliance matters, licensing applications, regulatory submissions, and ongoing compliance obligations.Our consultants develop and...

  • Head of Compliance Risk Management

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Gravitas Recruitment Group (Global) Ltd Full time

    Compliance Risk Management LeaderWe are seeking a seasoned professional to join our team as a Global Insurance Compliance Lead. In this role, you will be responsible for managing compliance risks and developing strategies to mitigate them.

  • VP of Compliance

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China DARMAX GLOBAL Full time

    Company Our client is a global multi-billion-dollar Hedge Fund with a dynamic and collaborative culture. The Role: This powerhouse is currently seeking a driven Senior Associate/ VP, Compliance (Japanese Speaker) to join their ever-growing team due to organic growth - can be based in their Hong Kong, Singapore, or Japan office.  You will work closely with...

  • Compliance Consultant

    1 week ago

    Hong Kong, Central and Western District, Hong Kong SAR China Global Consultancy Full time

    Global Consultancy Hong Kong, Hong Kong SAR Established consultancy looking for driven individuals to be part of a growing team. The organization offers you the chance to: Advise and support clients in the asset management and funds sector on regulatory compliance matters Assist with licensing applications, regulatory submissions, and ongoing compliance...

  • Compliance Manager Professional

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Allianz Popular SL. Full time

    At Allianz Global Investors, we strive to maintain a professional work environment that promotes fulfillment and inclusivity. If you're interested in contributing to a leading active asset management company, consider joining our team as a Regulatory Expertise Specialist in Hong Kong within the Investment Compliance department.The Investment Compliance...

  • Senior Compliance Professional

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Fusion Worldwide Full time

    Fusion Worldwide is a leading global distributor of electronic components and finished products. We are seeking a highly skilled Senior Compliance Professional to support the development, implementation, and management of our APAC compliance program.This individual will report to the Director of Global Export Compliance and Privacy in Singapore and will be...

  • Regulatory Compliance Specialist

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Global Consultancy Full time

    **About Us**Global Consultancy is an established consultancy firm in Hong Kong that provides expert advice on regulatory compliance matters to clients in the asset management and funds sector.We are seeking a driven individual to join our growing team as a Regulatory Compliance Specialist. The ideal candidate will have prior experience in compliance,...

  • Regulatory Compliance Expert

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Global Consultancy Full time

    At Global Consultancy Hong Kong, we are looking for a skilled Regulatory Compliance Expert to join our team. As a key member of our organization, you will play a vital role in advising and supporting clients in the asset management and funds sector on regulatory compliance matters.We are an established consultancy with a growing team, offering a unique...