Jun 08, 2018

Compliance Officer (AVP-VP)

  • Financial Services
  • Hong Kong
Full time Compliance Banking Finance Hedge Fund

Job Description

About us

The hiring firm is a global hedge fund with offices in London, HK and US employing over 60 people to manage total assets in excess of $4.5bln. The flagship fund launched in 2010 and has a multi-strategy investment approach, currently managing $2.8bn. The firm also manages a highly successful Fixed Income Fund. Said firm is currently regulated globally by the FCA, CFTC/NFA, SEC, and SFC. The role works closely with all areas of the business to ensure the firm meets regulatory obligations at all times. The role is responsible for assisting in the implementation of firm's compliance monitoring program, ongoing oversight, drafting policies and procedures and implementing all SFC regulations as required and other global regulations as appropriate. The role represents the interface between the SFC as well as a number of service providers including the Firm’s external auditors, information technology providers and compliance consultants. This role will report to the firms Head of Compliance who is based in London.


The team

The Hong Kong office has around 20 people, all working together in an informal open plan office. The firms compliance team is primarily based in London and is formed of 3 team members. As a small firm, the talent and dedication of our people is crucial to the firm’s success, and we encourage and expect everyone to work closely together collegiately.


Main responsibilities and role description

As the team will be composed of three people, the candidate will be given the opportunity to become involved in a wide range of compliance areas including but not limited to:

 Assist in the implementation and maintenance of the firm's compliance policies and procedures, risk-based monitoring program and with general day to day compliance with testing and monitoring tasks in accordance to changing business and regulatory requirements.

 Monitor SFC regulatory developments and assist with the implementation of applicable changes.

 Assist with managing the firms reporting schedule and prepare returns, filings and notifications to the SFC and other relevant regulatory bodies as appropriate.

 Carry out monitoring and surveillance activities to ensure any breaches are identified and dealt with responsibly e.g. restricted lists, best execution, short selling reporting, personal account dealing, gifts and entertainment etc.

 Act as the primary liaison between all Personnel in Hong Kong in relation to compliance issues.

 Ensure licensed individuals fulfil their CPT and other regulatory requirements.

 Conduct reviews of marketing materials

 Assist with compliance science system and maintenance and review of employees conflict of interest attestations

 Assist with keeping abreast of the ever-changing regulatory landscape including analysis, interpretation and applicability to the firms business

 Assist with global registrations with regulators

 Assist with regulatory filings and reporting such as Form ADV, Section 13F & 13H Reporting, 7R, 8R, PQR, ICAAP, EMIR etc

 Liaise with all relevant statutory and regulatory organisation, external auditors and any other external bodies as appropriate.

 Assist with organising compliance training for all members of Personnel in HK office to ensure that they are aware of and understand their responsibilities in relation to compliance.


Essential skills

 Undergraduate with a good degree pass

 5+ years experience working within a hedge fund or buy side asset management, ideally investment compliance experience

 Excellent SFC knowledge and awareness of FCA, CFTC, SEC regulations

 Good technical and product knowledge

 Must demonstrate accuracy and attention to detail

 Strong written and verbal communication skills

 To be able to work independently and also as part of a team

 Strong communication skills and willingness to work with all employees and partners

 Able to work in a fast paced, constantly changing environment, and prioritise work accordingly


Assistant Vice President

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