Description

About the Client:

We are currently representing a reputable fast growing Hedge fund with SFC Type 4 and Type 9 regulated activities. They are looking for a high-calibre and all-rounded Compliance Manager / AVP to join their team. The successful candidate will play a critical, hands-on role in overseeing end-to-end compliance matters, advising the business, and ensuring full adherence to SFC regulations.

Key Responsibilities:

1. All-Rounded Compliance Oversight: Act as the primary point of contact for day-to-day compliance matters, covering regulatory compliance, investment compliance, AML/KYC, and general corporate compliance.
2. Regulatory Framework & Policies: Implement, review, and maintain robust internal control policies and procedures to ensure the firm strictly meets all SFC requirements, with a specific focus on Type 4 and 9 regulated activities.
3. Regulatory Inspections & Reporting: Lead and coordinate regulatory inquiries, reporting, and audits. Proven experience in directly handling SFC onsite inspections is essential.
4. Monitoring & Surveillance: Conduct regular compliance monitoring, trade surveillance, and suitability checks (e.g., risk profiling, pre-trade risk disclosures) to detect and prevent market misconduct.
5. Training & Cultivation: Design and deliver compliance training programs to internal staff to cultivate a strong compliance culture across the organization.

Qualifications & Requirements:

1. Bachelor's degree in Finance, Business Administration, Law, Accounting, or a related discipline.
2. Minimum of 5-8 years of solid, all-rounded compliance experience within Asset Management, Brokerage, or Wealth Management.
3. In-depth knowledge of SFC codes and guidelines, particularly relating to Type 4 & 9 regulated activities.
4. Concrete, hands-on experience in dealing with SFC onsite inspections is a Big Plus.
5. Self-motivated, detail-oriented, and highly adaptable to work independently in a fast-paced environment.
6. Strong communication and stakeholder management skills.
7. Excellent command of written and spoken English and Chinese (Cantonese and Mandarin).