Compliance Director

Company Introduction

We are an outsourced HR partner assisting our client, TenTrove Capital Limited, in the recruitment of a Compliance Director.

TenTrove Capital Limited is a licensed Hong Kong corporation regulated by the Securities and Futures Commission (SFC) with Type 4 (Advising on Securities) and Type 9 (Asset Management) licenses. They are currently seeking a professional fund compliance officer to join their team, providing comprehensive operational support for their rapidly growing business.

Job Responsibilities

· Oversee and ensure full compliance with SFC regulatory requirements for Type 4 and Type 9 activities, including ongoing monitoring of licensing conditions and regulatory updates.

· Develop, implement, and maintain compliance policies, procedures, and internal controls tailored to advisory and asset management operations.

· Supervise regulatory reporting, notifications, and filings to the SFC, ensuring accuracy, timeliness, and completeness.

· Conduct compliance risk assessments, monitoring programs, and periodic reviews of business practices to identify and mitigate regulatory risks.

·  Provide compliance training and guidance to senior management and staff, reinforcing awareness of obligations under the Securities and Futures Ordinance.

· Act as principal liaison with regulators and external auditors on compliance matters, investigations, and inspections, ensuring transparent communication and effective resolution.

Job Requirements (JR)

1. Education and Major

◦ Bachelor's degree or above, with priority given to majors in Law, Finance, Accounting, or related fields; priority will also be given to candidates holding relevant legal qualifications.

2. Work Experience

◦ 5-8+ years of experience in investment research, portfolio management or a similar role within the corporate finance and investment banking industry

◦ Priority given to candidates with compliance experience in the securities, asset management, or private banking sectors; additional points for candidates with virtual asset compliance experience.

3. Professional Competence and Certifications

◦ Proficiency in SFC regulatory rules, the Securities and Futures Ordinance, and AMLO anti-money laundering requirements; understanding of compliance key points for various types of SFC licenses;

◦ Priority given to candidates holding certifications such as HKSI Paper 1/7/8, ACAMS (Certified Anti-Money Laundering Specialist), AAMLP, or CFA;

◦ Proficiency in operating compliance systems such as SFC PORTAL and World-Check, and ability to write compliance reports in both Chinese and English.

4. Ideal Candidate Profile:

◦Young professionals eager to learn and grow will be highly considered.

◦Ability to multitask and handle compliance-related responsibilities.

◦Preference for candidates with a mainland background.

What we offer

Our client is committed to providing our employees with a supportive and enriching work environment. Some of the key benefits you can expect include:

1. Competitive salary and performance-based bonus structure
2. Comprehensive healthcare and insurance coverage
3. Collaborative and innovative company culture

About us

iPlatform HR Service Limited is a leading provider of human resources services and solutions to organisations across the Banking & Financial Services industry. With a focus on innovation and client-centricity, we strive to empower our clients to navigate the ever-evolving HR landscape and achieve their strategic objectives.

If you are excited about this opportunity and believe you have the skills and experience to excel in this role, we encourage you to apply now.