Compliance Specialist (with Operations experience will be a plus)- Fast Growing Hedge Fund in Hong K

LMA Recruitment, EA Licence No: 11C4684
Hong Kong, Hong Kong
May 26, 2021
Jun 12, 2021
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Our client, a Hong Kong based equity Hedge Fund Manager is looking for a compliance specialist (preferably with operations background) to join their fast-growing office in Hong Kong.

Responsibilities of the role:
  • To handle hedge fund related compliance matters, e.g. personal account trading, NDA, fund constitutional documents (PPM, M&A, etc.), ISDA agreements, ERISA, sanctions, private deal documents, employment contract, BRMQ, EDSP, HK/Cayman/US regulations, P&P
  • Assist in filings with SFC and equivalents in other jurisdiction, implementation of requirements of licensed activities
  • Operations related compliance, e.g. account opening, regulatory reporting, data analytics, compliance/risk related controls, etc.
  • To work with both internal and external stakeholders on various regulatory projects

Requirements of the role:
  • A law or business or accounting degree holder
  • Relevant professional qualifications such as CPA / CFA / FRM / CAIA will be a PLUS
  • Around 10 years of working experience in total with 2- 6 years hands-on experience in the Hedge Fund Industry/ Alternative Investments or SFC
  • Experience in operations and IR related areas will be a PLUS
  • Ability to multitask and interact well with both internal and external stakeholders
  • Able to work independently in a fast-paced, unstructured and high pressure environment with tight deadline
  • Excellent communication skill. Fluency in both English and Chinese (either Mandarin or Cantonese)

Interested applicants, kindly submit your resume to

Company Reg. No.: 201131609D: Licence No.: 11C4684 : EA Reg No: R2196467
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