Based in HK, we are a boutique fund management company founded in 2002. Our investors are predominantly renowned US/Europe institutions. We manage hedge funds and private equity funds with major investments in Southeast Asia and Greater China.

Based in HK, we are a boutique fund management company founded in 2002.  Our investors are predominantly renowned US/Europe institutions.  We manage hedge funds and private equity funds with major investments in Southeast Asia and Greater China.

Compliance Officer/ Vice President - Compliance

Job level Senior
Work exp Minimum 8 Years
Education Bachelor Degree
Location Central
Employment type Permanent
Benefits 5-day week
Industry Financial Services
Job function Banking / Finance > Fund Management / Hedge Fund
Banking / Finance > Legal / Compliance
Published On 02/11/2016

Job description:

  • Handle the compliance matters of the Company arising from :
    • Type 4, 9 regulated activities with HK SFC, licenses of the company and funds for Investment Adviser with SEC in US, FSC of BVI and Cayman Islands
    • Marketing rules in countries we may market to
    • Regulatory filings including disclosure of interests for funds and directors
  •  Perform company secretarial duties
  • Handle compliance matters arising from service providers, counterparties or agents
  • Research in new regulations and formulate compliance policies/procedures accordingly
  • Liaise with service providers of funds and the company (brokers, prime brokers, lawyers, etc) on legal/compliance matters 

Requirements:

  • ~ 8 years' working experience with 4 years or more in compliance or related fields
  • A degree holder in law, accounting, finance or related discipline
  • Mature, organized and stable in personalities.  Able to work independently under stress and  overtime occasionally. Dedicated to work with high level of attention to details
  • Interested in fund management industry, eager to develop knowledge in securities and asset management related regulations
  •  Fluent in written/spoken English
  • Operation, accounting/tax experience with fund managers or financial institutions, knowledge in fund setup/accounts, excellent skills in excel/database, strong sense in number, qualifications in CPA or equivalent are pluses
  • Experience in setup and maintenance of funds, discretionary accounts and related matters are preferred

We offer attractive remuneration package to the right candidate. Interested parties please send your application in email (in pdf files named as "CMCVFirstnameLastname") with subject "Job Application - Compliance Officer (VP)" to recruitment@asmhk.com