Compliance officer - Hedgefund
About the Role:
We are seeking a highly motivated and detail-oriented Compliance Officer for a Hong Kong based hedge fund. This role is critical in ensuring the firm's adherence to regulatory requirements, particularly those set by the Securities and Futures Commission (SFC), and in supporting the broader compliance framework across the firm's operations.
Key Responsibilities:
- Act as the primary liaison with the SFC and other regulatory bodies.
- Monitor and interpret regulatory developments, circulars, and guidelines relevant to hedge fund operations.
- Ensure timely and accurate regulatory filings and notifications.
- Maintain and enhance internal compliance policies and procedures in line with SFC requirements.
- Conduct internal compliance reviews and risk assessments.
- Provide compliance training and guidance to business units.
- Support licensing and ongoing compliance obligations for licensed individuals and entities.
- Assist in handling regulatory inspections, audits, and inquiries.
- Collaborate with global compliance teams to ensure consistency and alignment.
Requirements:
- Bachelor's degree in Law, Finance, Accounting, or a related discipline.
- Minimum 2-10 years of compliance experience in hedge funds, asset management, compliance consultancy firm or financial institutions.
- Strong knowledge of SFC regulations, including the Securities and Futures Ordinance (SFO).
- Experience in dealing directly with regulators, especially the SFC.
- Excellent communication and interpersonal skills.
- High level of integrity, discretion, and professionalism.
- Native level in English; Cantonese or Mandarin is a must.
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your resume and details on file so when we see similar roles or see skillsets that drive growth in organizations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your resume so you can be considered for roles that have yet to be created.
Yes, we help with resume and interview preparation. From customized support on how to optimize your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.