Description

Our client is a Hong Kong-based hedge fund specializing in Asian markets, with a focus on equities, convertible bonds, credit, and cross-capital structure opportunities across Greater China and broader Asia. Drawing on deep regional expertise, they pursue superior risk-adjusted returns through a blend of concentrated long-term investments in high-quality companies and opportunistic trading of mispriced securities. Their team combines rigorous fundamental analysis with quantitative techniques to drive alpha generation in dynamic and opening markets.

Role Overview

They are currently seeking a motivated Compliance Officer (or Junior Compliance Officer) to support their compliance function in Hong Kong. Reporting to the Chief Operating Officer and senior compliance lead, you will assist in maintaining and enhancing the firm's regulatory compliance program, ensuring adherence to SFC, SEC (if applicable), and other relevant regulations. This is an excellent opportunity for someone early in their compliance career to gain hands-on experience in a boutique Asia-focused hedge fund environment.

Key Responsibilities

• Assist in monitoring and ensuring compliance with regulatory requirements, including SFC licensing, anti-money laundering (AML), know-your-client (KYC), and personal account dealing rules.
• Support the review of marketing materials, investor communications, and fund documents for regulatory compliance.
• Help maintain compliance policies, procedures, and manuals, including updates for new regulations.
• Conduct periodic compliance testing, monitoring of trading activities, and personal trading oversight.
• Assist with regulatory filings, reporting, and responses to inquiries from regulators.
• Support employee training on compliance topics and best practices.
• Monitor for conflicts of interest, insider trading risks, and other ethical issues.
• Contribute to ad-hoc projects, such as regulatory change impact assessments or compliance risk reviews.
• Collaborate with operations, trading, and investment teams on compliance-related matters.

Requirements

• Bachelor's degree in Law, Finance, Business, or a related field from a reputable university.
• 1-3 years of experience in compliance, legal, operations, or risk within asset management, hedge funds, investment banking, or a regulatory consulting firm.
• Basic knowledge of Hong Kong SFC regulations; familiarity with securities laws in Asia (e.g., China, Singapore) or US SEC rules is a plus.
• Strong analytical skills, attention to detail, and ability to handle confidential information.
• Excellent written and verbal communication skills in English; proficiency in Mandarin (Putonghua) or Cantonese is advantageous.
• Proficiency in Microsoft Office; experience with compliance software is a bonus.
• Intellectual curiosity, proactive mindset, and ability to work in a small, collaborative team.
• Relevant certifications (e.g., in progress towards SFC licensing or compliance qualifications) are desirable but not required.

What We Offer

• Competitive compensation package, including base salary, performance bonus, and benefits.
• Hands-on exposure to a dynamic Asia-focused investment strategy in a meritocratic environment.
• Professional development and growth opportunities in a growing firm.