Compliance Manager, Hedge Fund

Posted 09 July 2024
Salary HKD700000 - HKD850000 per annum
LocationHong Kong
Job type Permanent
Discipline Financial Services
ReferenceBH-2071
ContactCathleen Chen

Job description

  • Well-Reputed Hedge Fund
  • Great Worklife Balance
  • Great Remuneration Package
company overview.
This well-reputed hedge fund is looking for a compliance talent to join their team to handle the firm compliance matter. You will be joining a team of 4, great worklife balance will be provided.

responsibility.
As the Compliance Manager for a Well-reputed Hedge Fund, your key responsibility will be to:
  • Develop, implement, and maintain comprehensive compliance programs/ policies to ensure the hedge fund adheres to all relevant laws, regulations, and internal policies
  • Monitor daily trading activity, transactions, and account records to identify and address potential compliance issues
  • Conduct periodic risk assessments to identify and mitigate compliance risks
  • Prepare and file regulatory reports and disclosures in a timely and accurate manner
  • Serve as the primary liaison with regulatory authorities and respond to information requests - 
  • Provide compliance training to employees to enhance awareness and understanding of compliance obligations and monitor adherence to compliance procedures
  • Stay up-to-date on evolving regulation requirements and best practices in the hedge fund industry, implement such regulations with legal and operations departments as necessary
  • Collaborate with the legal, operations, and investment teams to integrate compliance considerations into business decisions
  • Maintain detailed & accurate records and documentation relating to compliance activities, including PA trading and conflicts, as well as compliance processes, procedures, and testing
  • Investigate and resolve any compliance breaches or conflicts of interest
  • Liaise closely with internal stakeholders to develop and implement compliance programs and initiatives
  • Liaise with regulators for general enquiries and onsite inspections, and with auditors with respect to audits
  • Responsible for trade surveillance - pre and post-trade monitoring, trade error review, and trade incident investigation and reporting
requirements.
  • Bachelor's degree in a relevant field such as finance, business, or law
  • Minimum of 7 years of experience in compliance within the financial industry, preferably in hedge funds or asset management
  • Sound knowledge of applicable regulations and laws, such as SFC regulations
  • Previous experience in financial audit or with a regulator is a plus
  • Strong analytical and problem-solving skills
  • Excellent communication and interpersonal skills to effectively liaise with stakeholders and regulators
  • Detail-oriented with the ability to handle multiple tasks and prioritize effectively
  • Professional certifications in compliance (e.g., CPA, CAMS, CFE, CRCMP) are highly desirable
  • Fluency in English and Mandarin is required 

If you believe you meet the above requirements and have the passion and drive to excel in this role, we invite you to submit your application. We apologies that only shortlisted candidates will be contacted. Please click the 'Apply' button below or send through your most updated CV to cchen@captarpartners.com

Still considering? Contact Cathleen Chen on +852 3653 5247 for confidential discussion about it, we are always happy to help.