Description

About the Firm

Our client is a well-established hedge fund with a strong presence in Asia, focused on public markets investing across event-driven, special situations, and equity strategies. The firm works closely with corporate events, capital raising transactions, and market-sensitive situations, creating a need for a highly commercial compliance professional with strong ECM, control room, or market conduct experience.

As the business continues to expand, they are seeking a Compliance Officer to provide day-to-day regulatory advisory support to investment professionals while overseeing market conduct and information barrier controls.

Key Responsibilities

Regulatory & Compliance Advisory

• Provide real-time compliance advice to portfolio managers, analysts, and senior management.
• Interpret and implement regulatory requirements under relevant SFC regulations and internal policies.
• Support regulatory filings, licensing matters, and compliance monitoring programmes.
• Conduct compliance reviews, surveillance, and testing activities.

ECM & Market Conduct Compliance

• Manage wall-crossing procedures and confidential information controls.
• Maintain and monitor restricted lists, watch lists, and insider lists.
• Advise on equity capital markets transactions, secondary offerings, block trades, placements, and other market-sensitive events.
• Review and approve interactions involving material non-public information (MNPI).
• Provide guidance on market misconduct, insider dealing, disclosure obligations, and short-selling requirements.
• Partner closely with investment teams on special situations and event-driven opportunities from a compliance perspective.

Monitoring & Controls

• Oversee personal account dealing monitoring and employee compliance obligations.
• Review trading activities and escalate potential regulatory concerns where appropriate.
• Conduct compliance training and promote strong compliance culture across the business.
• Assist in regulatory examinations, audits, and internal reviews.

Requirements

• 8-20 years of compliance experience gained within a hedge fund, investment bank, broker-dealer, or asset management platform.
• Strong experience in ECM Compliance, Control Room, Equities Compliance, or Market Conduct Compliance.
• Solid understanding of wall-crossings, information barriers, restricted list management, and MNPI controls.
• Familiarity with Hong Kong SFC regulations and public markets compliance requirements.
• Experience supporting event-driven, equity long-short, or special situations investment strategies is highly preferred.
• Strong stakeholder management skills with the confidence to challenge senior front-office professionals when necessary.
• Ability to work independently in a lean and entrepreneurial environment.

Preferred Background

• ECM Compliance at a global investment bank.
• Hedge fund compliance professionals with strong market conduct exposure.
• Prior experience covering IPOs, secondary offerings, PIPEs, block trades, takeover situations, or other corporate event-driven transactions.