- Provide compliance advisory to private fund and retail fund businesses
- Maintain fund documentations and ensure they are up-to-date and the funds adheres to applicable laws and regulations (including the drafting of board resolutions, updating corporate records etc.)
- Identify rules and regulations update
- Implement compliance framework and procedures
- Coordinate and handle all compliance requests from service providers such as banks, brokers etc. (include KYC request from counterparties)
- Oversees general compliance matters, including licensing, regulatory reporting and training to staff
Candidates should have 5-8 years of compliance experience in financial institution, asset management preferred
Solid understanding of the SFC rules and regulations, knowledge in SEC & NFA regulations a plus.