Compliance Manager - Family Office

About the Company
A single-family office with established operations in
Singapore
, focused on public‑markets hedge fund strategies. The firm is expanding into Hong Kong and will apply for a
Type 9 (Asset Management)
license with support from an external
compliance consultancy
.
Role Overview
The Compliance Manager will support the setup of the Hong Kong office, work closely with the external consultancy on the
Type 9 licensing process
, and oversee day‑to‑day compliance for the investment platform. You will collaborate with PMs and the Singapore team to ensure consistent standards across both locations.
Key Responsibilities
-
Work with an external compliance consultancy to manage the
Type 9 license application
and regulatory submissions.
-
Develop and maintain HK compliance policies (trading controls, MNPI, conflicts of interest, personal dealing, etc.).
-
Handle ongoing SFC filings, regulatory reporting, and communication with regulators.
-
Oversee AML/KYC processes and onboarding checks.
-
Provide day‑to‑day compliance guidance to PMs and operations teams.
-
Ensure HK policies are aligned with Singapore compliance practices.
Requirements
-
5+ years
of compliance experience in asset management or hedge funds.
-
Strong understanding of
SFC rules
, especially for Type 9 activities.
-
Experience with public-market trading compliance preferred.
-
Able to work independently and coordinate with external consultants.
-
Strong communication and stakeholder engagement skills.