Operations and Compliance Officer - Hong Kong Island Hong Kong - 36791


Job #: 36791
Title: Operations and Compliance Officer
Job Location: , Hong Kong Island - Hong Kong
Employment Type:
Salary: contact recruiter for details
Other Compensation: Discretionary bonus
Employer Will Recruit From: Local
Relocation Paid?: NO


A boutique Asset Management firm that offers professional investors bespoke solutions in private equity and public markets products.



  • Responsible for daily fund operations including confirmation, settlement, reconciliation, NAV, risk reporting, data analytics, fund accounting, corporate action, etc.
  • Work with external vendors and internal counterparts on portfolio valuation, P&L, cash and position reconciliations, etc.
  • Assist in new subscriptions and redemptions and perform KYC/ AML check on fund investors.
  • Selected compliance and IR related tasks, e.g. account opening, reporting, operational due diligence, subscription & redemption, policies & procedures preparation/update, and registration.
  • Produce adequate reporting materials to and regularly communicate with both internal and external stakeholders.
  • Oversee compliance function and act as a contact person to the SFC and external vendors (e.g. AML, KYC vendors, fund administrators, etc).
  • Conduct full review of current compliance policy, and come up with action plan to ensure full compliance with SFC standards.
  • Enforcement and monitoring the implementations of compliance policy across the firm.
  • Facilitate and coordinate with counterparts during new business line launches to ensure full compliance to SFC standards.
  • Other ad hoc duties as assigned.



  • At least 5 years of experience in setting up and launching hedge funds.
  • Sound knowledge in Asia and global fixed income products including but not limited to cash credit, CDS and rates.
  • Knowledge in structured credit, private debt, asset-backed debt and mortgages is a plus.
  • Hands-on solid long/short fixed income operations and accounting experience.
  • Experience in EAM/IAM business arrangements and the operations and reporting of these accounts. Having worked with various private bank partners is a plus.
  • Background in dealing with various professional services providers such as lawyers, auditors, tax accountants, prime brokers and fund admins. Prior relationship with these market participants is a plus.
  • Familiar with SFC regulatory requirements in compliance, especially those related to Type 9 license.
  • Hands-on experience in central compliance function, including handling SFC inspection and report submission, policies drafting and implementation.
  • Self-motivate, diligent, strive for excellence, able to multitask and work under pressure and independently.
  • Great team player with excellent communication and interpersonal skills.
  • Excellent command in English and Chinese. Good knowledge on office level IT applications.

University - Bachelor's Degree/3-4 Year Degree


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