Compliance Specialist

6 days ago


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

iCapital is a leading financial technology platform that powers the world's alternative investment marketplace. Our innovative solutions have 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.

We are seeking a highly experienced Compliance Officer to join our Global Regulatory and Compliance Team in Hong Kong. This role will play a key part in supporting iCapital's APAC business by handling regulatory and compliance matters for our operations in the region.

About the Role

The successful candidate will work closely with senior management, colleagues, regulators, and external partners to anticipate risks to the firm and its clients and mitigate them. They will develop and implement appropriate policies and procedures as well as internal controls to ensure that iCapital meets its regulatory obligations in APAC.

Key Responsibilities:

  • Develop a compliance strategy and guidelines to support the firm's growth across APAC in a sustainable and compliant manner.
  • Work closely with senior management and other teams to identify and mitigate potential risks to the firm and its clients.
  • Implement policies and procedures to ensure compliance with regulations and internal controls.
  • Act as a trusted advisor to Senior Management on compliance topics and provide guidance and training as needed.

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 that diversity and inclusion drive innovation and success. As an equal opportunities employer, we welcome applications from all qualified candidates.



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