Your new company

Our client is a Hong Kong-based investment manager focused on Equity Capital Markets (ECM) opportunities across Asia-Pacific, including IPOs, placements, block trades and convertible bonds. The firm is led by seasoned industry professionals with extensive experience across global investment banks and hedge funds, offering a highly entrepreneurial and collaborative environment.

Your new role

As Compliance Officer, you will serve as a key member of the compliance function, providing regulatory and compliance oversight across the firm's investment activities, with a particular focus on ECM and convertible bond transactions.

• Provide compliance advisory support on ECM transactions, including IPOs, placements, accelerated bookbuilds, block trades and convertible bonds.
• Review and monitor wall-crossing procedures, inside information handling and restricted list controls.
• Ensure compliance with SFC regulations, codes, guidelines and internal policies.
• Advise investment professionals on market conduct, conflicts of interest and regulatory obligations.
• Conduct trade surveillance and compliance monitoring activities.
• Lead compliance reviews, risk assessments and thematic monitoring programs.
• Liaise with regulators, auditors, legal counsel and external service providers when required.
• Support regulatory filings, inspections and compliance reporting.
• Develop and deliver compliance training to investment and operational staff.
• Review and enhance compliance policies, procedures and control frameworks.

What you'll need to succeed

• 15-20 years of compliance experience gained within hedge funds, asset managers, investment banks or securities firms.
• Strong knowledge of Hong Kong SFC regulations and market conduct requirements.
• Extensive experience covering Equity Capital Markets transactions and convertible bond activities.
• Experience advising front office teams on wall-crossing, insider information and restricted securities.
• Familiarity with hedge fund and asset management business models.
• Strong stakeholder management and communication skills.
• Ability to operate independently in a lean and entrepreneurial environment.
• Bachelor's degree in Law, Finance, Accounting or a related discipline.
• Fluency in English is required; Asian language capability would be advantageous.

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your profile to rowina.lo@hays.com.hk
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.