CPLI0603BB664JL
  • Expansion AP Headcount with Int’l Private Equity
  • Investment Compliance Advisory
  • Oversight Regulatory & Clients Mandates

Our Client

Global top ranking US based VC/ Private equity group managing over 11 funds in the Greater China region with over US 1.2 trillion of asset/shares, to search for experienced Compliance Associate /AD for HK regional hub.

Job Duties

Report directly to the Regional Head of Compliance

  • Tasked with the mission to support the development, implementation, testing and enforcing the firm's compliance programs
  • Provide compliance advisory to Portfolio Managers across the region to ensure the fulfilment of SFC, SEC regulatory requirements and client mandates
  • Serve as the compliance SME from pre-investment DD, valuation, structuring and on-going monitoring
  • Oversight the firm’s marketing, IR and fund raising activities by working closely with headquarters
  • Prepare regulatory filings and review of accounts for mandate compliance

Requirements

  • Well qualified graduate in legal, accounting, finance or related disciplined
  • 4years+/- relevant compliance experience earned, ideally with int’l private equity and SFC regulated entities
  • Good understanding of private equity business is essential
  • Strong analytical and communication skill in English and Mandarin
  • Proven capability to work with deal team and in a multicultural environment
APPLY NOW
Industry : Banking & Finance
You may also interested in......
  • Global Private Banking Group 
  • Excellent Worklife Balance & Job Security 
  • Regulatory Compliance Testing & Control

 

Job Duties
  • Report to North Asia Head of Compliance
  • Conduct periodic compliance testing & thematic audit to ensure daily activities of HK Branch adhere to the regulatory requirements including HKMA/SFC/MAS and corporate governance 
  • Review and oversight the effective implementation of control programs through ongoing review, monitoring and surveillance, investigation and reporting 
  • Business Risk & Regulatory Compliance Review
  • Regional 1st line of Defense Business Risk Mgmt
  • Hybrid work mode & Multi-cultural Environment
Job Duties
  • Report to the Head of Business Risk
  • Accountable for conducting 1st line of defense & risk assessment from account opening, product suitability, selling process and transaction review by collaborating with the front office, investment, OR & Compliance professionals
  • Gatekeeper to ensure fulfilment of HKMA regulatory requirements
  •  Global Private Bank
  •  KYC/SOW & Account Opening Approval
  • Contract Compliance & Risk Management 

 

Job Duties

As part of the Business Risk and Compliance North Asia Team. You will play a key part in

  • conducting KYC due diligence, account opening approval, AML investigations, and ensuring compliance with SOW requirements.
  • managing regulatory reporting, handling client onboarding procedures, and supporting various risk-related initiatives.
  • Global Ranking Int’l Law Firms
  • Trilingual Legal Secretary for Capital Mkts & PE
  • Travel Arrg, Legal Documentation & Billing
Job Duties
  • Report to Partners with specialization in Financial Institution, M&A and Investment Management transactions
  • Accountable for calendar management & demanding travel arrangement
  • Manage intensive back to back meeting schedules across GC, AP and HQ
  • Top Ranking Pure Play Global Private Bank
  • Oversight Regulatory Affairs & Central Compliance
  • Excellent job security and worklife balance

 

Job Duties
  • As part of the core team members to oversight Regulatory Affairs Compliance issues
  • Assume the subject matter expert on any regulatory changes and faciliate the proper implementation of procedures & policies
  • Provide active advisory to business and senior management on any regulatory changes and implications to business