Senior Compliance Officer - US Investment Manager
Arion House
Hong Kong, Hong Kong
source : EFinancialCareers Ltd

Firm Overview :

A multi-manager platform that invests its capital with Internal and Partner portfolio managers, primarily on an exclusive or semi-

exclusive basis, across quantitative, fundamental equity and tactical trading strategies.

We have created a unique structure to provide global portfolio managers with autonomy, flexibility and support to best enable them to maximize the value of their businesses.

Over the last 30 years, the firm and its predecessors have successfully capitalized on inefficiencies and opportunities within the equity markets.

We have developed and invested heavily in proprietary technology, infrastructure and risk analytics. Our portfolio exposure has expanded across the Americas, Europe and Asia as well as multiple asset classes and products.

We look for ways to align the interests of investors, investment professionals and the firm, highlighted by the opportunity for investment professionals to co-

invest in our funds and their individual strategies.

Principals of Ethics & Integrity :

The firm is committed to maintaining the highest legal and ethical standards in conducting its business. Our culture emphasizes effective oversight and strong accountability throughout the firm.

We continue to anticipate and navigate regulatory developments in order to adapt our policies and procedures in accordance with industry best practices.

At the heart of our business, our clients’ best interests always come first and our compliance program is designed to uphold this core principle.

The role :

Senior Compliance Officer to head up Asia (HK & SG) under the respective MAS and SFC regimes, as well as any additional expansion in this region.

The role reports directly to the Chief Compliance Officer of the parent company, with a dotted line to the Co-Head of Asia.

Core Skills & Attributes :

  • At least 5 years of operator experience running day-to-day MAS and SFC regulatory regimes.
  • Exposure across multiple asset classes inclduing equities, FX and futures.
  • Exposure across multiple trading strategies, including quantitative, fundamental equity and tactical trading.
  • Liaise with local and regional regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveys.
  • Work closely with global teams on projects and initiatives.
  • Conduct training on new rules and regulations as well as the promotion of compliance awareness and culture, where needed.
  • Identify, manage and control compliance, regulatory and reputation risks.
  • Ability to demonstrate an entrepreneurial spirit, embrace collaborative assignments, and exercise clear judgment.
  • Legal background (positive, but not required).
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