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Chief Compliance Officer - Equity Hedge Fund

Finance Network
Hong Kong, Hong Kong
Closing date
Jun 23, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Key Responsibilities:
  • Develop and implement a compliance program that includes policies, training, monitoring, and testing.
  • Handle investors' requests on due diligence checks.
  • Ensure compliance with all applicable laws and regulations, including securities laws and anti-money laundering laws.
  • Conduct regular compliance reviews and testing to identify and address risks.
  • Develop and implement a risk-based compliance monitoring program to mitigate potential risks.
  • Serve as the primary point of contact for regulatory inquiries and examinations.
  • Provide guidance and support to portfolio managers and staff on compliance matters.
  • Stay up-to-date on regulatory developments and industry best practices.
  • Report regularly to the executive team and Board of Directors on the compliance program status.

  • Bachelor's degree in finance, accounting, business administration, or related field.
  • 8-10 years of experience in compliance, preferably in the secondary market fund.
  • Strong knowledge of SFC and SEC regulations.
  • Excellent communication and interpersonal skills.
  • Experience handling institutional investors' due diligence process, especially requests from SWFs and Pension Funds.
  • Fluency in Chinese and English.

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