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Compliance Manager - Multi-strategy Investment House (BB-525BD)

Found in: Neuvoo Premium HK

Description:

Responsibilities

  • Provide firm/ individual level compliance support for SFC Type 1, 4 & 9 multi-strategy licensed firm
  • Maintain restricted lists and monitor wall-crossing
  • Handle PA dealing, expert network calls, outside activities, and other requests
  • Liaise with vendors regarding system upkeep and maintain compliance records
  • Perform investor and investment KYC/AML and other onboarding DD (e.g., PI)
  • Handle license applications and notifications, responding to inquiries and survey requests; trade/position level filings (e.g., 13F/H, short selling)
  • Coordinate compliance training
  • Maintain, test, and improve internal policies and procedures.
  • Coordinate and liaise with other teams in cross-departmental projects (e.g., BCP, EDSP, FATCA/CRS, vendor DD).
  • Monitor and research regulatory developments, assess the impact and implement changes.

 

Qualifications

  • Solid compliance experience in an SFC Type 9 licensed or compliance advisory firm.
  • Knowledge of listing rules in Hong Kong
  • Ability to multitask and excel in a fast-paced environment under pressure.
  • Team player, but also able to perform autonomously with minimum supervision.
  • Intellectual curiosity, fast learner, driven to achieve, “can-do” attitude.
  • Strong communication skills.

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