Infini Capital

Compliance Manager

Infini Capital Central, Hong Kong SAR
Infini Capital

Compliance Manager

Infini Capital Central, Hong Kong SAR
2 months ago 45 applicants

See who Infini Capital has hired for this role

Job Responsibilities

  • Regularly update and maintain compliance policies
  • Compliance housekeeping matters - Maintain accurate records and documentation relating to compliance activities, including PA trading and conflicts
  • Monitor and assess compliance risks associated with the company's activities
  • Conduct compliance training programs for employees to enhance awareness and understanding of compliance obligations
  • Review and approve marketing materials, client communications, and other externally facing documents to ensure compliance
  • Perform regular compliance audits and assessments to identify potential issues and implement corrective actions
  • Keep abreast of the latest regulatory requirements that apply to hedge fund business and implement such regulations with legal and operations departments as necessary
  • Work closely with internal stakeholders to develop and implement compliance programs and initiatives
  • Liaise with regulators for general enquiries and onsite inspections, and with auditors with respect to audits
  • Regulatory reporting - Ensure and track compliance with relevant regulations, including CFTC, SEC, SFC related filings
  • Manage PA dealings, conflicts of interests within the firm
  • Participate in the firm's Vendor Management process
  • Administer the firm's wall-crossing and travel policies
  • Responsible for trade surveillance - pre and post-trade monitoring, trade error review, and trade incident investigation and reporting


Requirements

  • Bachelor's degree in a relevant field such as finance, business, or law
  • Minimum of 7 years of experience in compliance within the financial industry, preferably in hedge funds or asset management
  • Sound knowledge of applicable regulations and laws, such as SFC regulations
  • Previous experience in financial audit or with a regulator is a plus
  • Strong analytical and problem-solving skills
  • Excellent communication and interpersonal skills to effectively liaise with stakeholders and regulators
  • Detail-oriented with the ability to handle multiple tasks and prioritize effectively
  • Professional certifications in compliance (e.g., CPA, CAMS, CFE, CRCMP) are highly desirable
  • Fluency in English and Mandarin is required (Cantonese speaking is a plus)

  • Seniority level

    Mid-Senior level

  • Employment type

    Full-time

  • Job function

    Legal

  • Industries

    Non-profit Organizations and Primary and Secondary Education

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