Compliance Associate – Private Equity Fund

Asset Management, Compliance / Legal, Private Equity
Hong Kong
Posted 3 years ago

Key Accountabilities
• Perform monitoring SFC regulated activities, particularly in type 4 and type 9 to ensure those are in compliance with the regulatory framework;
• Conduct internal control review of the operations of business and support functions, identify risk areas and suggest solutions to mitigate potential risks;
• Liaise with SFC and other regulators regarding investment products and licensing matters;
• Develop, maintain and update internal procedures and controls to ensure compliance with applicable local and international regulations (e.g. account opening, KYC procedures, AML procedures, FATCA, CRS, solicitation guidelines, employee compliance guidelines, etc.)
• Collect and monitor key risk indicators to identify adverse trend for corrective actions;


• Degree holder with a minimum of 5 years relevant compliance experience in investment compliance;
• Familiar with various investment products and participate in new fund product launch in the future;
• Sound knowledge of the investment management industry, prior experience with trading/compliance systems preferred;
• Strong interest in investment and occasionally assist investment team on investment due diligence;
• Strong analytical skills and the ability to make decisions in a pressured environment;

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