Description

The Role

• Act as a hands-on member of the Compliance team, supporting the day-to-day compliance function and ensuring the firm's business activities adhere to applicable regulatory requirements and internal policies.
• Review and approve marketing and promotional materials to ensure compliance with relevant regulatory requirements, including SFC regulations, advertising guidelines, and internal compliance standards.
• Assist in the development, implementation, and ongoing maintenance of KYC/AML policies and procedures, while providing guidance and support to business stakeholders on client due diligence and onboarding matters.
• Conduct reviews of client onboarding documentation, KYC records, and due diligence materials to ensure completeness, accuracy, and compliance with regulatory requirements.
• Support the preparation of responses to regulatory inquiries, inspections, and information requests from regulators and external parties, and assist in monitoring regulatory developments and compliance obligations.
• Participate in compliance monitoring, regulatory filings, policy updates, compliance training initiatives, and other ad hoc compliance projects and assignments as required by management.

Your Profile

• Bachelor's degree in Law, Finance, Accounting, Business Administration, or related discipline.
• Minimum 5-8 years of compliance experience within asset management, hedge fund, private equity, or investment management firms.
• Strong knowledge of SFC regulations
• Hands-on experience handling SFC inspections, licensing matters, regulatory filings, and compliance monitoring programs.
• Familiarity with investor onboarding, institutional investor due diligence, compliance questionnaires, and fund-related compliance matters.
• Excellent communication and stakeholder management skills with the ability to liaise directly with investors, regulators, and senior management.
• Fluency in English required; Chinese (Cantonese and/or Mandarin) is an advantage.

Apply Today

To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.

Reference Number: 67010-0013495302

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