APAC Compliance - Private Equity

Taylor Root; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

Taylor Root is seeking an experienced Compliance professional for its Asia-based Legal & Compliance team in Hong Kong. You will oversee and strengthen the firm's compliance program, ensuring adherence to SFC licensing and AML/CTF, conflicts of interest, and related regulatory frameworks.

You will collaborate with investment, fundraising, and operations teams to support growth while maintaining robust controls and a strong ethics culture.

Qualifications

• Bachelor's degree required; postgraduate qualification strongly preferred (JD/LLB, CFA, CAMS).
• Minimum 8+ years in compliance with private equity, venture capital or asset management.
• Proven Hong Kong SFC regulatory expertise and Type 9 licensing experience.
• Experience interacting with SFC and regulatory examinations is desirable.
• Strong judgement, attention to detail and independent work style.

Responsibilities

• Lead design and enhancement of compliance policies and controls per SFC and FMCC.
• Oversee monitoring, testing, and surveillance including MNPI and related parties.
• Review investor communications for compliance with marketing rules.
• Support SFC filings, annual reviews, risk assessments and inspections.
• Administer Code of Ethics, including pre-clearance and personal trading monitoring.
• Provide guidance on deal execution, side letters, co-investments and governance.
• Monitor regulatory developments impacting Asia operations.
• Deliver targeted compliance training across regions.

Skills

SFC regulatory framework

Type 9 asset management licensing

FMCC knowledge

AML/CTF controls

Conflicts of interest handling

Regulatory liaison with regulators

Investor communications review

Governance & risk oversight

Education

Bachelor's degree

JD/LLB or CFA/CAMS

Job description

International Private Equity Firm - APAC Coverage

Location: Hong Kong

Reports to: Chief Compliance Officer - Asia Pacific

About the Client

My client is a prominent private equity firm with significant assets under management. They invest across heavily in Asia, and other high-growth markets, partnering with strong management teams to drive sustainable value creation for our global investor base.

The Role

We are seeking an experienced Compliance professional with deep expertise in private equity / alternative investments to join our Asia-based Legal & Compliance team in Hong Kong. This role will play a pivotal part in overseeing and strengthening the firm's compliance program in a regulated environment, ensuring adherence to SFC licensing requirements (including Type 9 asset management obligations), anti-money laundering (AML), conflicts of interest, and other key regulatory frameworks. You will collaborate closely with investment teams, fundraising, operations, and senior leadership to support business growth while maintaining robust controls and a strong compliance culture.

Key Responsibilities

• Lead the design, implementation, and ongoing enhancement of the firm's compliance policies, procedures, and controls in line with SFC regulations, the Fund Manager Code of Conduct (FMCC), and other applicable Hong Kong / international standards
• Oversee compliance monitoring, testing, and surveillance programs, including personal account dealing, conflicts management, MNPI controls, restricted lists, and related-party transaction oversight
• Review and approve investor communications, marketing materials, pitchbooks, PPMs, due diligence responses, and fundraising documentation to ensure compliance with SFC marketing and disclosure rules
• Support SFC regulatory filings, annual compliance reviews, risk assessments, and preparation for on-site inspections / regulatory inquiries
• Administer the firm's Code of Ethics, including pre-clearance, holdings reporting, and personal trading monitoring
• Provide compliance guidance on deal execution, side letters, co-investments, ESG considerations, and portfolio company governance matters
• Monitor regulatory developments (SFC, cross-border rules, AML/CTF, sanctions) and assess their impact on the firm's Asia operations
• Develop and deliver targeted compliance training to investment, IR, and operations teams across the region
• Act as a key liaison with regulators (e.g., SFC), external counsel, and auditors; manage responses to regulatory requests and examinations
• Contribute to the firm's broader risk and governance framework in a fast-paced private equity environment

Qualifications & Experience

• Bachelor's degree required; postgraduate qualification (e.g., JD/LLB, CFA, CAMS, or relevant professional certification) strongly preferred
• Minimum 8+ years of relevant compliance experience, with significant time (ideally 5+ years) spent in private equity, venture capital, asset management, or a buy-side alternative investments environment
• Proven expertise in Hong Kong SFC regulatory framework, including licensing obligations for Type 9 (asset management), fund marketing, FMCC, AML/CTF, and private fund compliance issues (e.g., valuation, allocations, conflicts, co-investments)
• Experience interacting directly with the SFC and handling regulatory examinations or inquiries is highly desirable
• Strong understanding of private equity fund structures, deal processes, and investor relations in Asia
• Excellent judgment, attention to detail, and pragmatic approach to balancing regulatory requirements with business objectives
• Ability to work independently in a dynamic, high-growth firm while contributing to cross-functional initiatives
• Familiarity with compliance tools/systems (e.g., for trade surveillance, personal trading, or document management) is advantageous