A rapidly growing Asia-focused investment management firm is seeking a Chief Compliance Officer / Head of Legal and Compliance to lead the firm's legal, regulatory and compliance framework as it continues to expand its institutional business and assets under management.
This is a highly visible leadership role working directly with the CIO, senior management team and investment professionals. The successful candidate will serve as the primary adviser on legal, regulatory, governance and compliance matters while helping build and scale the infrastructure of a growing investment platform.
Key Responsibilities
- Lead the firm's compliance programme and regulatory framework
- Advise portfolio managers and investment professionals on market conduct, regulatory and compliance matters
- Oversee wall-crossings, MNPI controls, restricted lists and trading-related compliance issues
- Manage licensing, regulatory filings and interactions with regulators
- Oversee employee dealing (PAD) monitoring and compliance surveillance
- Lead AML, KYC and onboarding processes
- Manage position monitoring, disclosure obligations and regulatory reporting
- Deliver compliance training and promote a strong compliance culture
- Review and negotiate legal documentation including investor agreements, service provider contracts and other commercial arrangements
- Liaise with external counsel, compliance consultants and key service providers
- Support strategic business initiatives, product launches and investor onboarding
Requirements
- Approximately 10-20 years of legal and/or compliance experience gained within hedge funds, asset managers, investment banks or other regulated financial institutions
- Strong understanding of market conduct, equities, ECM, trading-related compliance or control room matters
- Experience advising senior stakeholders and front-office professionals
- Exposure to hedge fund, asset management, equities or capital markets businesses
- Experience with regulatory reporting, licensing, AML/KYC and compliance monitoring
- Ability to operate independently within a lean and entrepreneurial environment
Preferred Background
- Qualified lawyer preferred but not essential
- Experience as a Head of Compliance, Chief Compliance Officer, Head of Legal & Compliance, General Counsel or senior Legal/Compliance professional
- Exposure to event-driven, special situations, equities or multi-strategy investment environments is advantageous
Personal Attributes
- Commercial and pragmatic
- Strong judgement and stakeholder management skills
- Hands-on and willing to operate at both strategic and operational levels
- Entrepreneurial mindset with a "no task too small" attitude
- Comfortable working directly with founders, CIOs and portfolio managers
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