The Company

Investment Compliance role overseeing SFC Type 4 & 9 compliance, regulatory filings, investment monitoring, investor due diligence, and compliance advisory.

The Role

• Provide compliance advisory support to the investment, marketing, operations, and senior management teams to ensure compliance with SFC regulations, licensing requirements, and internal policies.
• Monitor and oversee compliance with the Securities and Futures Ordinance (SFO), Code of Conduct, Fund Manager Code of Conduct (FMCC), and other applicable regulatory requirements for SFC Type 4 and Type 9 regulated activities.
• Conduct pre- and post-trade surveillance, investment guideline monitoring, restricted list reviews, personal account dealing reviews, and conflicts of interest assessments.
• Lead regulatory filings and submissions through SFC e-Services, including licensing matters, notifications, annual returns, and substantial business change applications.
• Support SFC inspections, regulatory inquiries, thematic reviews, and audits by preparing documentation, coordinating responses, and implementing remediation actions.
• Review fund offering documents, marketing materials, subscription documents, investment management agreements, and investor communications to ensure regulatory compliance.
• Act as a key compliance contact for investors, institutional clients, fund distributors, and external service providers on compliance and regulatory-related matters.
• Handle investor due diligence requests, compliance questionnaires, RFPs, AML/KYC inquiries, and regulatory disclosures.
• Collaborate with legal, risk, operations, and portfolio management teams to identify compliance risks and strengthen internal controls.
• Deliver compliance training and regulatory updates to employees and management.

Your Profile

• Bachelor's degree in Law, Finance, Accounting, Business Administration, or related discipline.
• Minimum 5-8 years of compliance experience within asset management, hedge fund, private equity, or investment management firms.
• Strong knowledge of SFC regulations, SFO, Type 4 and Type 9 licensing requirements, FMCC, and relevant regulatory frameworks.
• Hands-on experience handling SFC inspections, licensing matters, regulatory filings, and compliance monitoring programs.
• Familiarity with investor onboarding, institutional investor due diligence, compliance questionnaires, and fund-related compliance matters.
• Excellent communication and stakeholder management skills with the ability to liaise directly with investors, regulators, and senior management.
• Fluency in English required; Chinese (Cantonese and/or Mandarin) is an advantage.

Reference Number: 67010-0013483154

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