iCapital is powering the world’s alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital has more than 800 employees and services approximately $131 billion in global client assets invested in over 1’000 funds, with offices in New York (headquarters), New Jersey, Connecticut, Massachusetts, Zurich, London, Lisbon, Hong- Kong and Singapore.
iCapital was named Solutions Provider of the Year at the 2020 MMI/Barron’s Industry Awards and selected to the Forbes FinTech 50 for the past five years, a list of the top 50 innovative financial technology companies that are transforming finance through technology.
About the Role
iCapital is seeking a Compliance Officer to join the Compliance Team in APAC. This role will assist with a variety of corporate governance activities both at the firm level and for investment vehicles. The successful hire will take full responsibility for all regulatory and compliance matters for iCapital’s business in Hong Kong, with regulatory oversight of the cross-border business in APAC, in particular North East Asia (including Japan, Korea, China etc.).
Responsibilities:
- Define compliance strategy and guidelines to support the firm’s growth across North East Asian region in a sustainable and compliant way.
- Closely monitor new regulatory development/updates and advise senior management and colleagues; putting in place/update compliance policies and review regularly.
- Work closely with senior management, colleagues, regulators, and external partners & stakeholders to anticipate risks to the firm and its clients and mitigate them.
- Develop and implement appropriate controls and monitor in the context of the business model to ensure that iCapital meets its regulatory obligations in Hong Kong.
- Act as “Compliance Knowledge Center” within the firm and trusted advisor to Senior Management and Business, providing guidance and training on compliance topics if needed
Qualifications
- 5+ years of experience of compliance, operations and regulatory experience with a financial entity regulated by SFC is a must
- Familiarity with SFC regulations in relation to a Type 1 and 4 licensed entity, especially the marketing rules of private funds
- General compliance expertise in AML/KYC, code of conduct, gift and entertaining, personal account dealing, compliance monitoring and reporting, data privacy etc., - specifically in Hong Kong
- Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth firm.
- In-depth knowledge of cross-border regulations in North East Asia region is a plus.
- Proficient in English communication for collaboration with head office and external, international stakeholders and suppliers. Chinese language capability is a plus.
For additional information on iCapital Network, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc
