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Aptitude Asia

Head of Compliance - Hedge Fund

Aptitude Asia Hong Kong
Posted 3 days ago Permanent Competitive base with high bonus
W
Posted by
William Chan
Associate Director
Our client, a well-established HK-based hedge fund, is seeking an experienced and dynamic Head of Compliance to join them in Hong Kong. This is a unique opportunity for an individual who thrives in a fast-paced environment and is passionate about ensuring regulatory compliance.

Role Summary

The Head of Compliance will be the sole compliance professional responsible for overseeing all compliance matters within the firm. Reporting directly to the COO, you will play a critical role in maintaining the highest standards of integrity, risk management, and adherence to regulatory requirements.

Responsibilities:

Regulatory Compliance

  • Interpret and apply relevant regulations, guidelines, and laws applicable to hedge funds.
  • Develop and implement compliance policies, procedures, and controls.
  • Monitor changes in regulatory landscape and ensure timely updates to internal policies.

Risk Assessment and Mitigation

  • Conduct risk assessments to identify potential compliance risks.
  • Collaborate with business units to address compliance gaps and mitigate risks.
  • Provide guidance on risk management practices.

AML/KYC Oversight

  • Oversee anti-money laundering (AML) and know-your-customer (KYC) processes.
  • Ensure proper due diligence on clients, counterparties, and investors.
  • Report suspicious activities to relevant authorities.

Trade Surveillance and Monitoring

  • Implement and maintain trade surveillance programs.
  • Monitor trading activities for market abuse, insider trading, and other violations.
  • Investigate and report any irregularities.

Employee Trading and Education

  • Conduct compliance training sessions for staff.
  • Foster a compliance-aware culture within the organization.
  • Keep employees informed about regulatory changes.

Reporting and Communication

  • Prepare regular compliance reports for senior management and regulators.
  • Liaise with external auditors and regulatory bodies.
  • Communicate compliance updates to the team.

Advisory Services

  • Provide compliance advice to portfolio managers, traders, and other stakeholders.
  • Assist in new product launches and investment strategies.
  • Address compliance inquiries promptly.

Qualifications

To excel in this role, you should possess:

  • Bachelor’s degree in finance, law, or a related field.
  • Minimum 6 years of experience in compliance within the financial industry, preferably with exposure to hedge funds or asset management.
  • Strong knowledge of Hong Kong regulatory requirements (SFC, HKMA, etc.).
  • Excellent communication skills and the ability to collaborate effectively with diverse teams.
  • Analytical mindset with attention to detail.
  • Professional certifications (e.g., CAMS, CFA, or similar) are advantageous.

 

ABOUT COMPANY
Hong Kong
HR & Recruitment
Aptitude launched to fill a gap in the market for a boutique search firm specialised primarily in the investment banking, financial services, insuranc...
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