We are seeking a highly skilled and experienced Compliance Officer to join our US-based hedge fund. The ideal candidate will have a solid background in compliance, with a strong understanding of handling material non-public information (MNPI). Fluency in Mandarin is also required for effective communication with Chinese-speaking counterparts and clients.
Responsibilities:
- Compliance Oversight: Ensure the hedge fund's compliance with applicable laws, regulations, and industry standards. Develop and implement compliance policies and procedures to mitigate risks and maintain a strong compliance culture within the organization.
- MNPI Management: Possess a deep understanding of material non-public information (MNPI) and implement robust controls and processes to handle and safeguard sensitive information. Establish and enforce policies for the proper handling of MNPI, including insider trading restrictions and information barriers.
- Regulatory Compliance: Stay up-to-date with relevant regulations, including SFC rules, and ensure the hedge fund's compliance with all regulatory requirements. Conduct regular internal compliance reviews and audits to identify and address any potential compliance issues.
- Compliance Training: Develop and deliver compliance training programs to educate employees on regulatory requirements, best practices, and ethical standards. Promote a culture of compliance throughout the organization.
Requirements:
- Bachelor's degree in Finance, Business, Law, or a related field. Advanced degree (JD, MBA, or equivalent) preferred.
- Solid knowledge of HK regulatory requirements, particularly SFC rules, and familiarity with MNPI handling.
- MNPI Expertise: Strong understanding of material non-public information (MNPI) and experience in implementing controls and processes to handle and safeguard sensitive information.
- Mandarin Proficiency: Fluent in Mandarin to effectively communicate with Chinese-speaking counterparts and clients.
- Regulatory Knowledge: In-depth knowledge of relevant regulatory requirements and industry best practices, including anti-money laundering (AML) and know-your-customer (KYC) regulations.
- Strong Analytical and Problem-Solving Skills: Ability to identify, assess, and mitigate compliance risks. Strong analytical skills to review complex regulatory issues and develop practical solutions.
- Excellent Communication and Interpersonal Skills: Effective communication skills, both written and verbal, to interact with stakeholders at all levels. Ability to build collaborative relationships and work as part of a team.
- Attention to Detail: Meticulous attention to detail and strong organizational skills to ensure accuracy in regulatory reporting and compliance documentation.
