Compliance Manager - Family Office
About the Company
A single-family office with established operations in Singapore, focused on public‑markets hedge fund strategies. The firm is expanding into Hong Kong and will apply for a Type 9 (Asset Management) license with support from an external compliance consultancy.
Role Overview
The Compliance Manager will support the setup of the Hong Kong office, work closely with the external consultancy on the Type 9 licensing process, and oversee day‑to‑day compliance for the investment platform. You will collaborate with PMs and the Singapore team to ensure consistent standards across both locations.
Key Responsibilities
- Work with an external compliance consultancy to manage the Type 9 license application and regulatory submissions.
- Develop and maintain HK compliance policies (trading controls, MNPI, conflicts of interest, personal dealing, etc.).
- Handle ongoing SFC filings, regulatory reporting, and communication with regulators.
- Oversee AML/KYC processes and onboarding checks.
- Provide day‑to‑day compliance guidance to PMs and operations teams.
- Ensure HK policies are aligned with Singapore compliance practices.
Requirements
- 5+ years of compliance experience in asset management or hedge funds.
- Strong understanding of SFC rules, especially for Type 9 activities.
- Experience with public-market trading compliance preferred.
- Able to work independently and coordinate with external consultants.
- Strong communication and stakeholder engagement skills.
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