Compliance Officer - Global Quant Fund - Hong Kong

Our client, a global quant fund based in Hong Kong, are now actively seeking a Compliance Officer to join their expanding team. The successful candidate will manage regulatory and operational compliance for their Hong Kong office, ensuring all algorithmic trading strategies, market connectivity, and business practices align with SFC regulations and global fund policies.

The role:

1. Act as the primary point of contact for the Securities and Futures Commission (SFC).
2. Maintain corporate licenses and handle SFC Type 1, 2, 4, and 9 regulated activity filings.
3. Monitor high-frequency and quantitative trading activities for market misconduct, spoofing, or wash trading.
4. Review and sign off on automated trading algorithms to ensure compliance with SFC Paragraph 15 regulations.
5. Update compliance manuals, code of ethics, and internal control policies against evolving regional rules.
6. Oversee the Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) frameworks for investor onboarding.

What you offer:

1. Minimum 3+years of compliance experience within a quantitative hedge fund, proprietary trading firm, or investment bank.
2. Bachelor’s degree in Law, Finance, Computer Science, or a related quantitative field.
3. Deep familiarity with the Hong Kong Securities and Futures Ordinance (SFO) and SFC codes.
4. Proficiency in SQL, Python, or VBA to extract data and automate trade surveillance reports is highly preferred.
5. Fluency in both English and Korean is required.