Head of Compliance, APAC - Senior Vice President

About the Role

iCapital is seeking a Senior Vice President 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 lead the APAC Compliance  Team to play a key role in supporting iCapital’s APAC business by handling and supervising  compliance matters for iCapital’s business in APAC.  iCapital operates through a number of different international entities, many of which are licensed to conduct regulated activities. Currently in APAC, we have offices in Hong Kong, Singapore, Japan and  Australia. 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

• As a member of the APAC regional management committee, work closely with and provide advice to the senior management team. You will need to develop and maintain a strong working relationship with senior management to work together on the firm’s growth strategy in APAC, anticipating business needs and proactively engaging in business decisions to ensure we operate within the letter and spirit of the law.
• Work closely with colleagues, regulators, external partners and stakeholders to anticipate regulatory compliance risks to the firm and its clients and mitigate them.
• Act as “APAC Compliance Knowledge Center” within the firm and trusted advisor to Senior Management, providing guidance and training on regulatory and compliance topics as needed.
• Take the lead in the development of a compliance strategy and guidelines to support iCapital’s growth across APAC in a sustainable and compliant way, with local Compliance Officers in each licensed office reporting to you.
• Act in Hong Kong as the SFC manager-in-charge of Compliance and the Anti-Money Laundering and Counter-Terrorist Financing.
• Oversee the development and implementation and review of 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 the main point of contact with regulatory bodies, as appropriate, to represent iCapital, as well as engage with relevant stakeholders to manage inspections and audits.
• Oversee and be hands-on in delivering a training programme on Compliance across APAC.
• Manage company secretarial matters relating to the Hong Kong legal entity, schedule board meetings, and maintain records.

Qualifications

• A minimum of 7+ years of experience gained from private practice and/or in-house role in the asset management / private markets industry
• In-depth knowledge, or experience of dealing with, cross border rules and regulations in APAC region. Ability to identify issues in order to effectively instruct external counsel, or escalate internally  where appropriate
• Strong organizational skills and ability to be proactive and anticipate business needs
• Possess a good  knowledge of regulatory compliance and internal controls for an asset management business
• Prior team leading experience is highly desired
• Adaptable, commercially minded and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth firm
• Strong interpersonal and communication skills
• Proficiency in English and ideally in Chinese 

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office four days, with the flexibility to work remotely one day.  Every department has different needs, and some positions will be designated in-office jobs, based on their function. 

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