Overview
APAC Compliance – Private Equity Jobs in Hong Kong, Hong Kong SAR at Taylor Root
Title: APAC Compliance – Private Equity
Company: Taylor Root
Location: Hong Kong, Hong Kong SAR
International Private Equity Firm – APAC Coverage
Location: Hong Kong
Reports to: Chief Compliance Officer – Asia Pacific
About the Client
My client is a prominent private equity firm with significant assets under management. They invest across heavily in Asia, and other high-growth markets, partnering with strong management teams to drive sustainable value creation for our global investor base.
The Role
We are seeking an experienced Compliance professional with deep expertise in private equity / alternative investments to join our Asia-based Legal & Compliance team in Hong Kong. This role will play a pivotal part in overseeing and strengthening the firm's compliance program in a regulated environment, ensuring adherence to SFC licensing requirements (including Type 9 asset management obligations), anti-money laundering (AML), conflicts of interest, and other key regulatory frameworks. You will collaborate closely with investment teams, fundraising, operations, and senior leadership to support business growth while maintaining robust controls and a strong compliance culture.
Key Responsibilities
- Lead the design, implementation, and ongoing enhancement of the firm's compliance policies, procedures, and controls in line with SFC regulations, the Fund Manager Code of Conduct (FMCC), and other applicable Hong Kong / international standards
- Oversee compliance monitoring, testing, and surveillance programs, including personal account dealing, conflicts management, MNPI controls, restricted lists, and related-party transaction oversight
- Review and approve investor communications, marketing materials, pitchbooks, PPMs, due diligence responses, and fundraising documentation to ensure compliance with SFC marketing and disclosure rules
- Support SFC regulatory filings, annual compliance reviews, risk assessments, and preparation for on-site inspections / regulatory inquiries
- Administer the firm's Code of Ethics, including pre-clearance, holdings reporting, and personal trading monitoring
- Provide compliance guidance on deal execution, side letters, co-investments, ESG considerations, and portfolio company governance matters
- Monitor regulatory developments (SFC, cross-border rules, AML/CTF, sanctions) and assess their impact on the firm's Asia operations
- Develop and deliver targeted compliance training to investment, IR, and operations teams across the region
- Act as a key liaison with regulators (e.g., SFC), external counsel, and auditors; manage responses to regulatory requests and examinations
- Contribute to the firm's broader risk and governance framework in a fast-paced private equity environment
Qualifications & Experience
- Bachelor's degree required; postgraduate qualification (e.g., JD/LLB, CFA, CAMS, or relevant professional certification) strongly preferred
- Minimum 8+ years of relevant compliance experience, with significant time (ideally 5+ years) spent in private equity, venture capital, asset management, or a buy-side alternative investments environment
- Proven expertise in Hong Kong SFC regulatory framework, including licensing obligations for Type 9 (asset management), fund marketing, FMCC, AML/CTF, and private fund compliance issues (e.g., valuation, allocations, conflicts, co-investments)
- Experience interacting directly with the SFC and handling regulatory examinations or inquiries is highly desirable
- Strong understanding of private equity fund structures, deal processes, and investor relations in Asia
- Excellent judgment, attention to detail, and pragmatic approach to balancing regulatory requirements with business objectives
- Ability to work independently in a dynamic, high-growth firm while contributing to cross-functional initiatives
- Familiarity with compliance tools/systems (e.g., for trade surveillance, personal trading, or document management) is advantageous
