Compliance Manager - Multi-billion Dollar Hedge Fund

  • 90K - 120K HKD Per Month + Attractive Bonus
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Strachan Clark
  • 16 Apr 18 2018-04-16

Multi-billion dollar Hedge Fund seeking a Compliance professional to join the Hong Kong team who has solid and extensive knowledge in financial services and who can support the legal and compliance departments at the firm. This is an exciting opportunity to work in a growing and progressive company that is further expanding its legal and compliance department. The position reports to the firm’s global General Counsel & Chief Compliance Officer based in Hong Kong.

Main Duties:

  • Provide support to Legal and Compliance departments
  • Responsibility to oversee and enhance the firm’s global compliance monitoring and surveillance programs and framework to ensure continued compliance with applicable regulations.
  • Monitor and assist with updates in regulatory changes (HK SFC, US SEC, Japan FSA, etc.)
  • Maintain the firm’s Compliance Code of Ethics, Compliance Manual, and compliance procedures manuals, and conduct internal compliance audit and gap analyses.  
  • Submit returns & filings & notifications to Hong Kong SFC & other relevant regulatory bodies, including US SEC.
  • Carry out monitoring and surveillance of firm activities, including but not limited to:
    • Restricted Trading Lists
    • large shareholder reporting
    • short-selling restrictions and reporting
    • personal account dealing
    • proxy voting
    • licensing and registration
    • gifts & entertainment
    • HK stock borrow filings
    • NDAs
    • AML
    • general investor matters
    • general monitoring and surveillance of trading activities
    • HK PI
    • HK MIC
  • Assist with compiling, documenting Compliance related training materials and assist in any relevant training sessions, in addition to collecting and organizing legal research for all jurisdictions
  • Oversee and enhance the firm’s Business Continuity and Disaster Recovery Program.
  • Ad-hoc projects including paralegal-level support tasks for Legal Department
    • Includes  new private fund formation support, and trading and other counterparty documentation management and support.

The Ideal Candidate:

  • University Degree Qualified
  • Excellent verbal and written English skills; spoken and written Cantonese preferred.  Japanese verbal and written skills a plus.
  • Minimum of 5-8 years relevant legal and/or compliance experience in a financial institution and/or regulatory agency (e,g., HK SFC).
  • Strongly prefer hedge fund / alternative investment firm experience, with knowledge of securities products.
  • The ideal candidate is mature and multicultural, with strong analytical and communication skills, as well as the ability to multi-task with minimal supervision.
  • Very detail oriented with high level of accuracy.
  • Ability to competently deal with and represent the firm to regulators and to industry peers at industry events.
  • Ability to work independently and proactively in a fast paced environment.
  • Willing to work overtime and meet tight deadlines.
  • Microsoft Excel and Bloomberg terminal experience preferred.