Description

Position Overview:

As the APAC Hedge Fund Compliance Officer, you will play a critical role in ensuring regulatory compliance and fostering a culture of compliance across our organisation. You will work closely with the Head of Compliance and cross-functional teams to implement and enhance our compliance framework. This position will be based in Hong Kong and report directly to the APAC Head of Compliance.

Responsibilities:

• Assist in implementing and administering the ongoing oversight of the compliance program as required by SFC Type 1, Type 2, and Type 9 licenses and other applicable regulatory obligations.
• Assist in maintaining supervisory policies and procedures designed to prevent violations of securities laws, including but not limited to, policies related to personal trading, insider trading, gifts and entertainment, short selling, restricted list administration, syndicate trading, and electronic communications.
• Assist in developing and implementing risk assessment practices and design forensic tests aimed to assess the adequacy of the firm's policies and procedures
• Assist in the preparation of regulatory filings, trading surveillance, evaluation of service providers, and equity capital markets compliance.
• Support regulatory audits and compliance training programs/initiatives.
• Research, understand, and interpret compliance requirements associated with SFC licensed firms, MAS requirements for Capital Market Services for Fund Management and Dealing in Capital Markets Products (Securities), the Investment Advisers Act of 1940 and related SEC regulations & guidance, CFTC and NFA regulations, and industry best practices.

Qualifications and Skills:

• Bachelor's degree required.
• Approximately 5-10 years of prior work experience at an investment advisory firm/hedge fund investing across global markets; sell-side compliance or control room experience; or experience at a financial services regulatory authority and/or regulatory practice at a major consulting or law firm.
• Experience with administration of personal trading policies and procedures, restricted list maintenance, gifts and entertainment, outside business activities, wall crossings, trade surveillance, and electronic communications reviews.
• Experience with regulators, particularly the SFC, MAS, or the SEC.
• Strong problem-solving and analytical skills with excellent attention to detail.
• Outstanding organizational skills and ability to design strong processes and workflows.
• Commitment to learning new investment strategies and their associated regulatory risks.
• A proven ability to multi-task and work both independently and as a team player in a fast-paced, demanding environment.
• Strong service orientation and ability to establish and maintain effective working relationships with peers, business units, leaders, a wide array of associates, and clients, while maintaining a strong compliance culture.
• Committed to maintaining high ethical standards.
• Ability to understand complex regulatory requirements and create effective compliance solutions.
• Strong verbal and written communication skills.
• Self-starter with the ability to work well independently.