Our Client, a Global Hedge Fund with AUM circa USD $10 billion is seeking a mid-level Compliance Officer to be based in Hong Kong but covering Japan trading hours/Japan Market trading (i.e. taking a Japan holiday schedule). This position will be part of a team of 3x Compliance professionals in Hong Kong.

Responsibilities

• Provide support to Legal and Compliance departments
• Responsibility to oversee and enhance the firm’s global compliance monitoring and surveillance programs and framework to ensure continued compliance with applicable regulations.
• Monitor and assist with updates in regulatory changes (HK SFC, US SEC, Japan FSA, Cayman Islands Monetary Authority etc.)
• Maintain the firm’s various compliance policies and procedure documents, and conduct internal compliance audit and gap analysis.
• Submit returns, filings, and notifications to HK SFC, US SEC and other relevant regulatory bodies.
• Maintain records and carry out monitoring and surveillance of firm trading and other business activities, including but not limited to: Wall Crossings / Restricted Trading Lists, large shareholder reporting , short-selling restrictions and reporting, personal account dealing, proxy voting, licensing and registration, gifts & entertainment, HK stock borrow filings, AML, fund marketing, general investor matters, general monitoring and surveillance of trading activities
• Assist with compiling, documenting Compliance related training materials and assist in any relevant training sessions, in addition to collecting and organizing legal research for all jurisdictions.

Requirements

• Laws/Finance/Business Administration university degree in an Accredited University (Laws Degree preferred)
• Fluent verbal and written English is required. Japanese verbal and written skills a plus.
• 5- 8 years relevant legal and/or compliance experience in a regulated financial institution and/or securities regulatory agency (e.g., HK SFC).
• Must have worked in a hedge fund / alternative investment firm previously, with knowledge of securities products.
• Hours will be 8:00am to 6:00pm, including full coverage of Japan market hours.
• Must be willing to work overtime and meet tight deadlines.
• In office role (i.e., not hybrid).
• Microsoft Excel and Bloomberg terminal experience preferred

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