Regulatory Compliance Specialist

4 days ago


Hong Kong Island, Hong Kong SAR China Infini Capital Full time

**Role Overview**

We are seeking a Risk and Compliance Manager to join our team at Infini Capital. The successful candidate will be responsible for ensuring the company's compliance with relevant regulations and maintaining accurate records and documentation.

Responsibilities

  • Ensure and track compliance with relevant regulations, including CFTC, SEC, SFC, or AMAC-related filings.
  • Maintain accurate records and documentation relating to corporate and compliance activities.
  • Regularly update and maintain compliance policies.
  • Assist in the preparation of gap analysis and reports to senior management and regulatory agencies on the Company's overall compliance framework.
  • Trade surveillance - pre and post-trade monitoring, trade error review, and trade incident investigation and reporting.

About Infini Capital

Infini Capital is a leading player in the capital markets industry. We offer a dynamic and supportive work environment that encourages innovation and collaboration.

Requirements

  • 4 - 8 years of hedge fund compliance experience (experience from other buy-side firms will be an advantage).
  • University degree in a relevant field or law-related background will be an advantage.
  • Be able to work independently and complete tasks in a timely manner.
  • Working knowledge of (i) the SFO and subsidiary regulations; and (ii) other regulations such as MAS, SEC, AMAC.
  • Familiarity with derivatives will be an advantage.
  • Familiarity with Bloomberg, Charles River, Enfusion, EZE, or other compliance/OMS systems will be an advantage.
  • Strong work ethic, communications, and interpersonal, analytical, and presentation skills.
  • Ability to work with minimal supervision, proactively, and follow tight deadlines.
  • Good command of written and spoken English and Mandarin.


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