Hong Kong Compliance Lead

3 days ago


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

About the Company

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iCapital is a leading financial technology platform powering the alternative investment marketplace.

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The Job

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We are seeking an experienced Compliance Officer to join our team, based in Hong Kong.

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Key Responsibilities

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  • Support the development of a compliance strategy and guidelines to support the firm's growth across APAC.
  • 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.

Requirements

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  • 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.
  • Able to work within the fast-paced, growing and constantly evolving structure of a high-growth firm.


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