Overview
Regional Compliance Officer- Global PE firm | Hong Kong Jobs in Hong Kong, Hong Kong SAR at Polymath Search
Title: Regional Compliance Officer- Global PE firm | Hong Kong
Company: Polymath Search
Location: Hong Kong, Hong Kong SAR
Regional Compliance Officer- Global PE firm | Hong Kong
Polymath Search is partnering with a Global PE firm in Hong Kong and they are seeking an experienced Regional Compliance Officer. You should have at least 5-8 years of compliance experience gained from the asset management space (experience in private market space will be highly advantages) with extensive experience dealing with SFC (Type 1,4,9) in Hong Kong. Regulatory compliance knowledge in other regions will be a plus. To succeed in this role, you should be proactive and an excellent team player and able to work independently with minimal supervision. The company is well recognized for its reputation, and it offers competitive package and excellent culture and benefits
Responsibilities of the role:
- Regulatory Monitoring & Implementation: Track and interpret relevant regulations and guidelines affecting private equity investments in the region (e.g., securities laws, anti-money laundering (AML) regulations, data privacy laws, and other financial compliance requirements).
- Review APAC marketing and client communication materials in both English and Chinese, and oversee fund registrations / filings processes
- Risk Assessment & Mitigation: Conduct compliance risk assessments; identify key compliance risks related to investment activities, portfolio companies, and operational functions; propose and oversee mitigation strategies.
- Knowledgeable of the securities laws, rules, and regulations in Hong Kong (Type 1, Type 9 and Type 4) and the marketing and distribution of interests in private funds. Familiarity with retail distribution of funds in Hong Kong is beneficial but not required
- Knowledge of other jurisdictional regulatory requirements in Asia Pacific and experienced in collaborating with colleagues in other regional offices as well as with headquarters based outside of Asia.
Requirements of the role:
- Bachelor’s degree in Law, Finance, Business Administration, or a related field. Advanced qualifications
- Minimum 5-8 years of compliance experience with global asset management firms or private equities
- Strong working knowledge of SFC rules (Type 1,4,9) and regulations in Hong Kong. Experience dealing with SFC regulatory inspections and licensing processes.
- Proficiency in written and spoken English and Mandarin is essential as the role involves reviewing Chinese-language and English-language marketing materials
- Proven track record in implementing and managing compliance programs in a multi-jurisdictional environment.
- Exceptional communication skills with the ability to influence senior management and diverse teams.
- Analytical mindset with strong problem-solving skills and attention to detail.
- Ability to work independently and manage multiple compliance projects concurrently.
Application Process: This is a fantastic opportunity to join a global private equity firm in Hong Kong! If you have relevant experience and interested to have a confidential discussion, please forward your CV to [email protected] We regret that only shortlisted candidates will be contacted.
SG EA Licence No | 23S2043 HK EA Licence No | 81007 Registration No | R2411975
