Compliance Officer - Assistant Vice President

Responsibilities:

• Define compliance strategy and guidelines to support the firm’s growth across North East Asian region in a sustainable and compliant way.
• Closely monitor new regulatory development/updates and advise senior management and colleagues; putting in place/update compliance policies and review regularly.
• Work closely with senior management, colleagues, regulators, and external partners & stakeholders to anticipate risks to the firm and its clients and mitigate them.
• Develop and implement appropriate controls and monitor in the context of the business model to ensure that iCapital meets its regulatory obligations in Hong Kong.
• Act as “Compliance Knowledge Center” within the firm and trusted advisor to Senior Management and Business, providing guidance and training on compliance topics if needed

Qualifications

• 5+ years of experience of compliance, operations and regulatory experience with a financial entity regulated by SFC
• Familiarity with SFC regulations in relation to a Type 1 and 4 licensed entity, especially the marketing rules of private funds
• General compliance expertise in AML/KYC, code of conduct, gift and entertaining, personal account dealing, compliance monitoring and reporting, data privacy etc., - specifically in Hong Kong
• Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth firm. 
•  In-depth knowledge of cross-border regulations in North East Asia region is a plus. 
• Proficient in English communication for collaboration with head office and external, international stakeholders and suppliers. Chinese language capability is a plus.

For additional information on iCapital Network, please visit  https://www.icapitalnetwork.com/about-us