Compliance Analyst - Buyside - Hedge Fund - Toptier

The role involves aiding in the private fund onboarding process, encompassing everything from due diligence to the examination of fund prospectuses. 

Comprehensive on-the-job training will be provided to ensure success in this capacity.

Responsibilities:

• Execute compliance monitoring tasks, encompassing approval of personal dealings, review of fund newsletters, preparation of regulatory reporting, documentation of Continuous Professional Training (CPT), assessment of sanctions compliance, and surveillance of investment breaches 

• Execute tasks related to SFC licensing, which include filling out questionnaires, applying for licences, and submitting necessary notifications and returns 

• Facilitate the fund onboarding process by reviewing fund documentations, initiating account setups, and conducting AML screenings along with KYC verifications 

• Liaise with both external and internal parties, including fund counterparties and clients, to communicate compliance stipulations associated with fund transactions 

• Keep abreast of regulatory changes and ensure timely revision and application of pertinent policies and procedural manuals to align with the latest regulatory demands 

• Support senior compliance officer with miscellaneous ad hoc responsibilities, such as conducting research and performing gap analyses to evaluate potential enhancements to the compliance management system 

Requirements: 

• Bachelor degree holder, with a preference for qualification in law, finance or a related discipline 

• A minimum of one year of professional experience in compliance sector 

• Familiarity with the Securities and Futures Ordinance and Securities and Futures Commission’s codes and guidelines, especially those pertaining to private funds and asset management, is considered beneficial 

• Strong capabilities in research and communication 

• Proficiency in English and Chinese, both oral and written 

• A self-starter with an analytical mindset and meticulous attention to detail 

• Able to maintain efficient under pressure and collaborate effectively within a team setting