Compliance Officer - Assistant Vice President

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 services approximately $176 billion (USD) in global client assets invested in 1,433 funds, as of December 2023.

iCapital has been named to the Forbes Fintech 50 for seven consecutive years (2018-2024); a three-time selection by Forbes to its list of Best Startup Employers (2021-2023); and a four-time winner of MMI/Barron’s Solutions Provider award (See link below). 

About the Role

iCapital is seeking a Compliance Officer to join the Global Regulatory and Compliance Team, based in Hong Kong. This role will assist with a variety of regulatory activities both at the firm level and for investment vehicles.  The successful hire will play a key role in supporting iCapital’s APAC business by handling regulatory and compliance matters for iCapital’s business in APAC, together with other members of the APAC Regulatory and Compliance team.  iCapital operates through a number of different international entities, many of which are licensed to conduct regulated activities. The successful candidate will partner with the business teams to ensure that our APAC offices are operating within the letter and the spirit of the regulations.

Responsibilities

• Support the development of a compliance strategy and guidelines to support the firm’s growth across APAC in a sustainable and compliant way.
• 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 policies and procedures as well as internal controls, and test and monitor in the context of the business model to ensure that iCapital meets its regulatory obligations in APAC.
• Act as “Compliance Knowledge Center” within the firm and trusted advisor to Senior Management, providing guidance and training on compliance topics if needed.

Qualifications

• 5+ years of experience in compliance, business controls, operations and regulatory experience with a financial entity regulated by SFC.
• Possess sufficient knowledge of regulations pertaining to SFC’s Type 1, 4 and 9 license.
• General Compliance knowledge in AML/KYC, code of conduct, gifts and entertainment, personal account dealing, compliance monitoring, regulatory reporting etc., 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 rules and regulations in the APAC region is a plus but not essential.
• Proficiency in English for collaboration with head office and external, international stakeholders and suppliers. Chinese language capability is a plus.

Benefits

iCapital offers a comprehensive benefits package that includes a total compensation program consisting of competitive salary, annual performance bonus, and equity for all full-time employees; healthcare with 100% employer-paid health and dental insurance; and generous paid time off (PTO).

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/