Compliance Manager

About the Company

Funda is a cutting-edge startup specializing in AI-driven investment research targeting global public equity markets. Our team combines expertise from leading AI companies and top hedge funds worldwide to develop AI Agents and infrastructure that redefine buy-side research workflows. We boast multi-million USD ARR, a rapidly growing client base of hedge funds across the US, UK, Hong Kong, and Singapore, and backing from premier venture capital funds.

Role Overview

Compliance forms a critical pillar of Funda's product, with every research report vetted by Compliance Risk Concepts (CRC), a US-licensed compliance firm. We are establishing an internal compliance function designed to meet the rigorous demands of high-profile buy-side clients and transform compliance into a competitive advantage.

Key Responsibilities

• Conduct compliance reviews of research reports, interview transcripts, and client content to detect material non-public information (MNPI), selective disclosures, insider information, and ensure source compliance.
• Lead responses to detailed vendor due diligence questionnaires (DDQs) from US and UK hedge funds, maintaining standardized, version-controlled answer libraries.
• Manage compliance discussions with client compliance teams in the US and EU, clearly communicating Funda's compliance framework and building trust.
• Review and coordinate compliance-related clauses in contracts including NDAs, MSAs, order forms, and compliance addenda among legal, sales, and clients.
• Collaborate closely with external compliance advisors like CRC, coordinating cross-time-zone communications, scheduling, and operationalizing recommendations.
• Develop and refine Funda's comprehensive compliance framework encompassing MNPI policies, information barriers, expert-network compliance workflows, personal trading policies, training programs, internal manuals, onboarding, and breach handling.
• Design and deliver compliance training sessions for research, sales teams, and new hires to embed compliance culture and awareness.
• Monitor evolving regulatory requirements from the SEC, FINRA, FCA, SFC, MAS, and other jurisdictions, preparing the company for licensing and cross-border growth.

Eligibility and Requirements

• Location: must be based in Hong Kong, Singapore, or Shanghai.
• 5 to 10 years of compliance experience, with exceptional candidates having 3 to 5 years considered.
• Preferred backgrounds include in-house compliance at hedge funds, asset managers, private funds; sell-side investment banks or research compliance; independent research compliance; expert-network firms (e.g., GLG, AlphaSights, Third Bridge); financial regulatory compliance in Big 4 or law firms; or regulatory bodies such as SFC, MAS, SEC, FINRA, or FCA.
• Fluent English communication skills capable of independently leading compliance calls with US/EU clients and drafting professional compliance documents.
• Deep understanding of buy-side compliance topics such as MNPI walls, expert-network compliance, restricted lists, insider trading boundaries, selective disclosure, tipping, attestations, and vendor diligence processes.
• Strong knowledge of independent research, sell-side research, and expert-network compliance best practices, with the ability to identify grey areas and offer pragmatic guidance.
• Demonstrated ability to build compliance frameworks from the ground up, creating effective policies and driving their execution.
• Excellent communication skills for client representation, internal compliance advocacy, and managing external advisors.
• Sound judgement balancing commercial agility with compliance integrity.
• Certifications such as CFA, legal qualifications, or compliance certifications (CSI, ICA International Diploma) are advantageous.

What We Offer

• A unique chance to lead and expand the compliance function in a fast-growing AI-finance firm, containing substantial ownership over the role.
• Backing from leading US venture capitalists and a top-ranking independent research firm recognized globally.
• Collaboration opportunities with CRC compliance experts, client compliance teams, and regulatory bodies, enhancing professional breadth.
• Competitive salary package including base pay, performance bonuses, and early-stage equity with significant ownership potential.
• A dynamic and international team spanning the US, Europe, and Asia regions.