Compliance Officer (Asset Management)

Key Responsibilities

• Assist in developing, implementing, and maintaining robust compliance policies, procedures, and controls tailored to venture capital/private equity activities, fund management, and cross-border investments.
• Monitor fund trading and personal account dealing and maintenance of restricted list.
• Conduct and monitor expert network calls/chaperoning, NDA review, and testing of ethical walls between private and public funds.
• Provide compliance guidance and training to investment teams, operations, and portfolio companies on regulatory matters, conflicts of interest, insider trading prevention, and ethical standards.
• Prepare and submit regulatory filings, reports, and attestations in various jurisdictions as required (HK SFC and DI filings, US SEC filings, MAS filings/reports, CIMA filings, etc.).
• Collaborate with internal teams (Legal, Finance, Investment) and external advisors to address compliance issues.
• Support incident management, investigations, and remediation of compliance breaches or regulatory inquiries.
• Contribute to the firm's compliance culture through proactive monitoring, testing, and reporting to senior management.

Qualifications & Experience

• Bachelor's degree; law degree a plus
• 4-7 years of relevant compliance experience, ideally in venture capital, private equity, asset management, or financial services firms (experience in Hong Kong or with SFC-regulated entities is a strong advantage).
• Solid understanding of Hong Kong regulatory framework (SFC licensing requirements for Type 9 regulated activities), as well as international standards (FATF, OFAC, EU sanctions, etc.).
• Strong analytical skills with attention to detail; ability to identify risks and propose practical solutions in a fast-paced environment.
• Native or near-native proficiency in English and Mandarin