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Compliance Manager
Robert HalfCentral and Western District, HK30 天前
职位描述Bachelor's degree in Law, Finance, or Business Administration from an accredited university (Law degree preferred). Proficiency in both spoken and written English is essential; Japanese language skills (written and verbal) are an advantage. At least two years of relevant experience in legal and / or compliance roles within a regulated financial institution or securities regulatory agency (e.g., HK SFC). Prior experience in hedge funds or alternative investment firms is strongly preferred, along with familiarity with securities products. Seeking a proactive and mature candidate with strong analytical abilities, excellent communication skills, and the capacity to handle multiple tasks independently in a fast-paced environment. Highly detail-oriented with a strong focus on accuracy. Must be capable of professionally engaging with regulators and industry peers, including representing the firm at industry events.
The Company
My client, a leading hedge fund manager, is currently seeking a Compliance Manager to enhance and support their Legal and Compliance functions. This role offers an excellent opportunity to work in a dynamic and fast-paced environment, ensuring the firm's adherence to regulatory requirements and industry best practices.
The Role
- Assist the Legal and Compliance teams with their operations and initiatives.
- Manage, refine, and strengthen the firm's global compliance monitoring and surveillance frameworks to uphold adherence to relevant regulations.
- Track and support the implementation of regulatory updates across multiple jurisdictions, including HK SFC, US SEC, Japan FSA, and the Cayman Islands Monetary Authority.
- Oversee the firm's compliance policies and procedures by maintaining documentation, conducting internal audits, and performing compliance gap analyses.
- Prepare and submit regulatory filings, reports, and notifications to authorities such as HK SFC, US SEC, and other applicable entities.
- Keep records and conduct surveillance of the firm's trading and business activities, covering areas such as :
- Support the development and organization of compliance training materials, assist in conducting training sessions, and help compile legal research across different jurisdictions.
Your Profile
Apply Today
To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
Reference No. 67010-0013179811
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Compliance Manager • Central and Western District, HK
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