Job Description

Your New Company

This Asset Management firm is renowned for its expertise in digital and traditional asset strategies. They are seeking a Head of Compliance to provide expert leadership and oversight for all regulatory matters in an individual contributor role.

Your New Role

• Ensure compliance with Hong Kong SFC regulations, including the Code on Unit Trusts and Mutual Funds.
• Oversee compliance for the product lifecycle, from development to ongoing maintenance.
• Act as the primary liaison with the SFC for fund elated filings and inquiries.
• Review and approve fund offering documents and marketing materials.
• Monitor regulatory developments and communicate impacts to stakeholders.
• Update internal policies and procedures to align with SFC requirements.
• Lead compliance training focused on passive investment products.
• Conduct compliance reviews across front, middle, and back office functions.
• Provide advisory support on product and authorized funds.
• Supervise AML/KYC checks and compliance investigations.
• Design and refine compliance monitoring frameworks for products

Your Background

• Bachelor’s degree in Law, Finance, Business Administration, or a related discipline.
• 10+years of relevant experience, with at least 3 years on authorized fund compliance.
• Strong working knowledge of SFC regulations for funds and experience in the fund authorization process is essential.
• SFC Type 1, 4, and 9 licenses preferred.
• Professional compliance or legal certifications are an advantage.
• Proven experience in reviewing offering documents and coordinating with regulators.
• Excellent communication in English and Chinese

What You'll Receive in Return

Join a forward-thinking investment firm offering exceptional opportunities for professional growth. Be part of a dynamic team shaping the future of digital and traditional asset management while upholding the highest standards of compliance.

Start Your Search Now

Contact ada.cheung@upsidegroup.co to explore this opportunity.

For More Information Visit: https://upsidegroup.co/