Our client is a Hong Kong based Hedge Fund manager with $9 billion USD AUM, who has recently expanded their Asia presence into Hong Kong. With their expansion they are looking to bring on a senior compliance director.
Job Responsibilities
- Manage all regulatory compliance functions of the firm, and maintain relationships with SFC and relevant industry associations
- Liaise with regulators on handling licensing, inquiries and ongoing reporting requirements
- Provide advice to investment team to ensure compliance with the relevant rules / regulations
- Keep abreast of regulatory changes, and provide timely advice / appropriate actions to management,
- Conduct regular review on compliance & risk framework, policies and procedures, and provide recommendations for required actions
- Handle ad hoc projects when required
Job Requirements
- University graduate or equivalent degree preferred, ideally in business, accounting or law
- Minimum 15 years of relevant work experience in the financial services industry in Compliance within foreign investment banks
- Sound working knowledge of equity and OTC Derivatives
- In-depth knowledge of HK regulatory (SFC) and SEC
- Fluent in Chinese and English