Job Responsibilities
- Act as a Senior Compliance Manager and oversee the compliance for the firm;
- Provide advice to investment team to ensure compliance with the relevant rules / regulations
- Supervise all regulatory compliance functions of the firm and maintains relationships with SFC and the relevant regulators/industry associations;
- Keep abreast of regulatory changes and conduct regular reviews on compliance and risk framework, policies, and procedure
- Keep track of CPT requirements for Registered Officers
- Participate in ad hoc compliance projects
- Manage a junior compliance officer
Job Requirements
- University graduate or equivalent degree preferred, ideally in business, accounting or law
- Minimum 10 years of relevant work experience in the financial services industry in Compliance within hedge fund, prop trading or asset manager
- In-depth knowledge of HK regulatory (SFC) and SEC
- Fluent in Chinese and English