Description

About the Firm

Our client is a global investment management firm with a diversified platform spanning hedge fund and private market strategies.

As part of their continued regional growth, they are expanding the compliance function and seeking a hands-on, buy-side compliance professional to strengthen the Asia compliance framework and support both regulatory and trade compliance activities.

About the Role

Reporting to the Asia Head of Compliance, this role will provide broad compliance coverage across the firm's trading and fund management activities in Hong Kong and the wider Asia region.

You will play a key role in maintaining the firm's regulatory obligations, overseeing trade and marketing compliance, and serving as a bridge between the investment teams, operations, and global compliance stakeholders. This role suits a proactive and commercially minded compliance professional with buy-side experience who enjoys working in a dynamic, collaborative, and fast-paced environment.

Key Responsibilities

• Oversee day-to-day regulatory compliance activities in Hong Kong, including SFC Type 1, 4, and 9 obligations, regulatory filings, and inspections.
• Implement and maintain the firm's compliance policies, procedures, and controls across Asia to align with global standards.
• Conduct trade surveillance and post-trade monitoring, ensuring trading activities adhere to internal policies and global market conduct expectations.
• Provide compliance advisory support to investment, trading, and operational teams on cross-border and product-specific matters.
• Monitor and interpret regulatory developments in Hong Kong and other key jurisdictions (e.g., Singapore, China, Taiwan, Korea, Australia) and coordinate implementation.
• Review and approve marketing and client communications (English and Chinese) to ensure compliance with regional distribution and advertising requirements.
• Deliver compliance training and awareness programs for business and support teams.
• Conduct compliance testing, monitoring, and risk assessments to identify and mitigate control gaps.
• Liaise with regulators, external auditors, and professional advisers on compliance and governance matters.
• Support corporate governance activities including board meeting coordination and recordkeeping.
• Contribute to strategic compliance projects and initiatives to enhance the firm's regional framework.

Key Requirements

• 6-10 years of compliance experience within the buy-side, including traditional asset management, private funds, and hedge funds.
• Strong knowledge of SFC regulatory requirements, including licensing, reporting, and marketing rules.
• Experience in trade surveillance and regulatory compliance monitoring preferred.
• Familiarity with regional regulatory frameworks (MAS, SEC, CFTC, FCA, ASIC, etc.) advantageous.
• Excellent written and verbal communication skills in English and Mandarin; ability to review and comment on bilingual materials.
• Strong interpersonal skills with the ability to engage confidently with senior stakeholders and global teams.
• Analytical, detail-oriented, and able to work independently within a lean team structure.
• Bachelor's degree in Law, Finance, Accounting, or Business; relevant certifications (e.g., CFA, ICA, CAMS) a plus.

Preferred Attributes

• Demonstrates a global mindset and the ability to operate effectively across cross-border regulatory environments.
• Proactive, resourceful, and adaptable, with a "hands-on" approach suited to a fast-growing buy-side environment.
• A collaborative team player with sound judgment, professional maturity, and high integrity.