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Compliance Officer

Full Time (Hong Kong or Shenzhen)

【Key Responsibilities】

  • Implement the firm's compliance program and ensure compliance with standard operating procedures and applicable regulations;

  • Manage and respond to external inquiries, audits, questions, questionnaires and reviews in a timely and satisfactory manner;

  • Help the firm to meet all of its reporting requirements and obligations completely and accurately;

  • Coordinate and conduct compliance training for employees;

  • Monitor regulatory developments and communicate risk opportunities;

  • Review and improve the firm's control processes through compliance monitoring;

  • Maintain and update the firm's policies and procedures, compliance manual and other internal compliance documentation;

  • Manage external relationships with external stakeholders including regulators and exchanges.

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【Profile and Skills】

  • Bachelor's or Master's degree in a relevant discipline with a strong academic record from a prestigious institution;

  • Experience in a compliance team;

  • Familiarity with fund environments and regulations;

  • Proficiency in fund structure, compliance and risk control requirements;

  • Strong attention to detail;

  • Organizational and project management acumen;

  • Keen analytical abilities;

  • Excellent written and verbal communication skills;

  • (Optional) Well-developed numeracy.

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【How to Apply】

Compliance Officer: Join Us
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