Compliance Manager

Hiring | AI × Equity Research – Compliance Manager

Base: Hong Kong / Singapore /Shanghai

Who We Are

We are an AI-driven investment research startup serving global public equity markets. Our team consists of talent from top-tier AI companies and leading global hedge funds, building AI Agents and core infrastructure for fundamental investment research to define the next generation of the buy-side research workflow.

• ARR in the multi-million USD range, growing rapidly
• Clients include dozens of hedge funds across the US, UK, Hong Kong, and Singapore
• Backed by tier-1 USD venture capital funds

Compliance is a product cornerstone at Funda — every research report is reviewed by Compliance Risk Concepts (CRC), a US-licensed compliance firm. We are now building our internal compliance function so that our framework can stand up to vendor diligence from the world's most demanding buy-side clients — turning compliance into a real moat.

Job Duties

• Research compliance reviews: Review research reports, expert interview transcripts, and client materials for compliance — MNPI, selective disclosure, tipping, insider information identification, source compliance
• Buy-side DDQ responses: Lead Vendor DDQ responses for US / UK hedge funds (multi-manager pod templates, plus long-only and asset manager DDQs); maintain a standard answer library with version control
• Client compliance meetings: Lead compliance calls and meetings with US / EU fund compliance teams — articulate Funda's compliance framework, answer detailed questions, and earn the trust of client compliance — one of the core value drivers of this role
• Contracts & agreements review: Review compliance clauses in client NDAs, MSAs, Order Forms, Research Service Agreements, and compliance addenda; coordinate redlining across legal, sales, and clients
• External compliance coordination: Partner closely with Compliance Risk Concepts (CRC) and other external compliance advisors — schedule review meetings, manage cross-time-zone communication, drive timelines, and operationalise external recommendations
• Build the compliance framework: Design and iterate Funda's end-to-end compliance framework from 1 to 10 — MNPI policy, information barriers, expert-network compliance workflow, personal trading policy, training, internal compliance manual, onboarding, breach handling
• Compliance training & culture: Design and deliver compliance training for research, sales, and new hires; embed compliance awareness from policy into daily practice
• Cross-jurisdiction regulation: Track SEC, FINRA, FCA, SFC, MAS, and other regional requirements; build compliance readiness for the company's future licensing and cross-border expansion

Open Roles

Compliance Manager — Hong Kong / Singapore /Shanghai

• Location: Hong Kong or Singapore or Shanghai
• 5–10 years of compliance experience; exceptional 3–5 year candidates considered
• Background preferred: In-house compliance at hedge funds / asset managers / private funds; sell-side investment bank or sell-side research compliance; independent research compliance; expert-network compliance (GLG, AlphaSights, Third Bridge); financial regulatory compliance practice at Big 4 or law firms; or background at regulators (SFC, MAS, SEC, FINRA, FCA)
• English (key requirement): Fluent English — can independently lead compliance calls with US / EU fund compliance teams, draft professional compliance documentation, and collaborate smoothly with US-based external compliance partners (CRC, etc.)
• Deep understanding of buy-side compliance: MNPI walls, expert-network compliance frameworks, restricted lists, insider-trading boundaries, selective disclosure, tipping, compliance attestations, vendor diligence workflows
• Real grasp of independent research, sell-side research, and expert-network compliance boundaries and best practice — able to identify grey areas and provide actionable guidance (not just paper-based legal opinion)
• Able to build compliance from 0 to 1 — write policies and make them actually live in the team; strong ownership and follow-through
• Excellent communication: can represent the company in client meetings, drive compliance internally, and hold ground with external advisors
• Strong judgement and principles — knows where to draw the line between commercial speed and compliance integrity
• CFA / law qualification / compliance certifications (e.g. CSI, ICA International Diploma in Compliance) a plus

What You'll Get

• Build a fast-growing AI × finance company's compliance function from 1 to 10 — one of the highest-ownership opportunities a compliance professional can take on
• Tier-1 USD VC backed; top-3 globally in 60-day Long/Short return among independent research firms — your work directly determines whether we can serve the world's top funds
• Deep ongoing collaboration with CRC, client compliance teams, and regulators — your compliance horizon will keep expanding
• Competitive base + performance bonus + early-stage equity (high-ownership roles get meaningful equity)
• Global team across the US, Europe, Singapore, Hong Kong, Taiwan, and Japan — lean, fast, market impact

Resumes / Referrals

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