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Compliance Risk Manager

2 weeks ago

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

About iCapital

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  • iCapital is a leading financial technology platform powering the alternative investment marketplace.
  • Our innovative platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients.
  • iCapital services global client assets invested in funds, with a strong presence in the APAC region.

The Role

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  • We are seeking an experienced Compliance Officer to join our Global Regulatory and Compliance Team, based in Hong Kong.
  • This role will assist with 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 business in APAC.

Responsibilities

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  1. Support the development of a compliance strategy and guidelines to support the firm's growth across APAC.
  2. Work closely with senior management, colleagues, regulators, and external partners & stakeholders to anticipate risks to the firm and its clients and mitigate them.
  3. 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.

Qualifications

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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.