Job ref no.: CT3114388-01#8554

Compliance Manager - Hedge Fund

Robert Walters

  • Discretionary bonus

This is a growth hire as the firm has performed very well in recent years and the COO has limited bandwidth so is seeking to divest the compliance function to the hands of a capable compliance manager. This person will be responsible for taking on much of the compliance tasks under the supervision of the COO with a great deal of autonomy afforded to this person.

This person will be responsible for:

  • providing day-to-day real time compliance advice to investment and trading teams on regulatory matters
  • overseeing the routine general compliance programme including; licensing, code of conduct, PAD, compliance manual updates and other matters
  • developing best practices for trade surveillance and monitoring of trading activity
  • working with firms regulators (primarily the SFC) to ensure all inquiries are settled in a timely manner and compliance questionnaires are submitted and filed as required
  • any other ad hoc duties as required

This person should have:

  • 5+ years total working experience, 2+ years in a fund management company, preferrably a boutique fund manager though experience at global investment managers will be considered as well
  • strong knowledge of regulatory requirements for an SFC registered fund manager
  • entreprenurial attitude and willingness to take on projects in a small company setting
  • fluency in English; Cantonese would also be preferred but not required

Get in touch

Tony Wilkey

+852 2103 5338

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More job information
Job ref no. CT3114388-01#8554
  • N/A
Job Function
Employment Term
  • Full-time
  • 5 years - 10 years
Career Level
  • Middle management level
  • N/A