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Senior Compliance Manager - Alternative Investments

Pure Hong Kong Hong Kong
Posted 23 hours ago Hybrid Job Permanent HK$90k - HK$100k
W
Posted by
Winnie Leung
Recruiter
My client is a reputable hedge fund seeking a skilled Senior Compliance Manager to join their Regional Compliance Team. As a Senior Compliance Manager, you will play a crucial role in ensuring adherence to regulatory requirements and internal policies, while maintaining a strong compliance framework within the hedge fund. The ideal candidate will have extensive knowledge and experience in hedge fund or private equity fund compliance, a deep understanding of regulatory frameworks, and exceptional analytical and communication skills.

Responsibilities:

  • Develop and implement a comprehensive compliance program for the alternative investments business, ensuring compliance with relevant laws, regulations, and industry best practices.
  • Conduct regular compliance assessments and reviews to identify and mitigate potential compliance risks.
  • Monitor and assess changes in regulatory requirements and industry trends, and proactively update compliance policies and procedures accordingly.
  • Collaborate with internal stakeholders, including portfolio managers, traders, and operations teams, to provide guidance and support on compliance-related matters.
  • Review and approve new products, investment strategies, and transactions to ensure compliance with regulatory requirements.
  • Conduct ongoing monitoring and surveillance of trading activities to detect and prevent potential compliance breaches, market abuse, and insider trading.
  • Stay updated on emerging technologies and trading platforms, assessing their impact on compliance requirements and implementing necessary controls.
  • Prepare and submit regulatory filings and reports as required.
  • Manage relationships with regulatory authorities and participate in regulatory examinations and audits.

Qualifications:

  • Bachelor’s degree in finance, Business, or a related field.
  • Minimum 7 years of experience in hedge fund or private equity fund compliance, with a strong understanding of regulatory requirements and industry best practices.
  • In-depth knowledge of relevant regulations, such as SEC, CFTC, and FINRA, as well as familiarity with global regulatory frameworks.
  • Strong analytical skills with the ability to identify and assess complex compliance risks.
  • Excellent communication and interpersonal skills, with the ability to effectively engage and influence stakeholders at all levels.
  • Proven track record in developing and implementing compliance programs within the hedge fund industry.
  • Experience in monitoring and surveillance tools and systems for compliance monitoring.
  • Ability to work independently, manage multiple priorities, and meet deadlines in a fast-paced and dynamic environment.
  • Knowledge of investment strategies, trading processes, and risk management practices within hedge funds is preferred.
Job ID  WL20240424
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