Purpose of the role: 

To manage the compliance program at Man Hong Kong as well as other compliance related projects and initiatives.

Specific Responsibilities:

General:

• Accountable for all aspects of regulatory compliance affecting the business and operations relating to activities for the Hong Kong local entity (MIHK) to ensure objectives and ongoing dealings are achieved within a compliant manner in an evolving regulatory environment.
• Act as the principle point of contact and maintain good working relationship with all relevant Hong Kong regulators (SFC, HKMA, HKEX).
• Maintain an effective working relationship with senior management, board of directors and other internal/external stakeholders of MIHK.
• Collaborate with other APAC offices (Australia, China, and Japan) to share regulatory knowledge, ideas and experiences across the region to improve processes, policy or the controls environment.
• To challenge and enhance the existing processes and methods where appropriate.
• Act as the primary contact for MIHK across a broad range of Man stakeholders across APAC and globally.

Compliance:

• Work closely with the MIHK business which includes the Sales, portfolio management, trading, operational teams to provide appropriate compliance advice on regulations, licensing and products.
• Work closely with other regional Compliance teams, compliance consultants and lawyers and assist the firm with regulatory filings, presentations.
• Review and maintain MIHK local policies and compliance monitoring activities producing reporting to various stakeholders as required.
• Manage the APAC process for wall-crossing requests received from counterparties, following Man’s internal processes and procedures.
• Maintenance of the various Man restricted lists following Man’s internal processed and procedures.
• Drive the regulatory advocacy strategy (where applicable) with particular emphasis on Hong Kong SAR to senior management to support the business in identifying, assessing, and mitigating risks.
• Maintain an appropriate compliance culture in Hong Kong.
• Ensure that all regulatory filings and applications are up to date.
• Review marketing material, offer documents, and other communications which includes but is not limited to fund prospectus, RFPs, promotional materials, presentation materials, advertisements, factsheet, press releases, etc.
• Oversight of the issues management process to ensure that client complaints, risk and compliance incidents are captured, analyses, escalated as required, corrective action taken, and progress reported to applicable stakeholders.
• Register as the MIHK MLRO and provided appropriate advice to support the Group MLRO in all Hong Kong AML/CTF regulations and financial crime prevention activities.
• Review personal account dealing requests for MIHK employees in line with Group policy.
• Assist in ad-hoc compliance projects and initiatives as directed.

Technical Competencies:

• 6-8 years of compliance experience gained from a global asset management (i.e. buy-side) firm.
• Investment/trade compliance is “must,” especially:
  • Knowledge of and dealing with short sell restrictions (US, JP, SK)
  • Knowledge of and dealing with Wall Crossing and MNPI controls (US, JP, HK, AU, SK, CN, UK, EU)
• Standalone compliance experience would be an advantage
• Mainland (AMAC, CSRC) experience would also be an advantage