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.