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Regulatory Specialist

2 months ago

Hong Kong, Central and Western District, Hong Kong SAR China Infini Capital Management Limited Full time
Job Summary

We are seeking a highly skilled Compliance Officer to join our team at Infini Capital Management Limited. As a key member of our compliance function, you will play a critical role in ensuring that our business operations are in line with regulatory requirements and industry best practices.

Key Responsibilities
  • Compliance Policy Management
    • Develop, implement, and maintain effective compliance policies and procedures to ensure adherence to regulatory requirements.
    • Collaborate with internal stakeholders to ensure that compliance policies are integrated into business operations.
  • Regulatory Risk Management
    • Identify, assess, and mitigate regulatory risks associated with our business activities.
    • Develop and implement strategies to ensure compliance with relevant regulations and laws.
  • Compliance Training and Awareness
    • Design and deliver compliance training programs to enhance employee awareness and understanding of regulatory requirements.
    • Develop and maintain compliance-related documentation and records.
  • Regulatory Reporting and Compliance
    • Ensure timely and accurate submission of regulatory reports and filings.
    • Monitor and track compliance with relevant regulations, including CFTC, SEC, and SFC-related filings.
  • Vendor Management and Due Diligence
    • Develop and implement effective vendor management processes to ensure compliance with regulatory requirements.
    • Conduct due diligence on vendors and service providers to ensure they meet regulatory standards.
  • Trade Surveillance and Monitoring
    • Develop and implement trade surveillance and monitoring programs to detect and prevent regulatory breaches.
    • Investigate and report on trade-related incidents and errors.
  • Collaboration and Communication
    • Collaborate with internal stakeholders, including legal, operations, and business teams, to ensure compliance with regulatory requirements.
    • Develop and maintain effective communication channels with regulators and other external stakeholders.
Requirements
  • Education
    • Bachelor's degree in a relevant field such as finance, business, or law.
  • Experience
    • Minimum of 7 years of experience in compliance within the financial industry, preferably in hedge funds or asset management.
  • Skills and Qualifications
    • Sound knowledge of applicable regulations and laws, such as SFC regulations.
    • Strong analytical and problem-solving skills.
    • Excellent communication and interpersonal skills to effectively liaise with stakeholders and regulators.
    • Detail-oriented with the ability to handle multiple tasks and prioritize effectively.
    • Professional certifications in compliance (e.g., CPA, CAMS, CFE, CRCMP) are highly desirable.
    • Fluency in English and Mandarin is required (Cantonese speaking is a plus).