Compliance Manager

About Funda

Funda is an innovative AI-driven investment research startup focused on global public equity markets. We leverage AI Agents and core infrastructure to enhance fundamental investment research, aiming to redefine the buy-side research workflow. We have achieved multi-million USD ARR, are growing rapidly, and serve numerous hedge funds across the US, UK, Hong Kong, and Singapore. Our operations are backed by top-tier venture capital funds.

About the Role

Compliance is a critical component of Funda's product offering. While currently reviewed by Compliance Risk Concepts (CRC), a US-licensed firm, we are establishing an internal compliance function to meet the rigorous vendor diligence standards of demanding buy-side clients, transforming compliance into a strategic advantage.

Job Duties

• Conduct thorough reviews of research reports, expert interview transcripts, and client materials to ensure adherence to compliance standards, including identifying Material Non-Public Information (MNPI), selective disclosure, tipping, and insider information.
• Lead the response process for vendor due diligence questionnaires (DDQs) from US and UK hedge funds, managing various template types and maintaining a version-controlled library of standard answers.
• Facilitate and lead compliance discussions and meetings with compliance teams at US and EU funds, clearly articulating Funda's compliance framework and building trust, which is a key value driver for this position.
• Examine compliance-related clauses within client agreements such as NDAs, MSAs, Order Forms, and Research Service Agreements, coordinating redlining efforts with legal, sales, and clients.
• Collaborate closely with external compliance advisors like Compliance Risk Concepts (CRC), managing review schedules, facilitating cross-time-zone communication, ensuring timely progress, and implementing external recommendations.
• Develop and refine Funda's comprehensive compliance framework from the ground up, including policies for MNPI, information barriers, expert network engagement, personal trading, training programs, internal manuals, onboarding procedures, and breach handling protocols.
• Design and deliver effective compliance training for research, sales, and new employees, fostering a strong culture of compliance awareness that integrates policy into daily operations.
• Monitor and track regulatory requirements from bodies such as the SEC, FINRA, FCA, SFC, and MAS, preparing the company for future licensing and international expansion.

Additional Information

This role is based in Hong Kong, Singapore, or Shanghai. We are seeking candidates with 5-10 years of compliance experience, though exceptional candidates with 3-5 years may be considered. Preferred backgrounds include in-house compliance at hedge funds, asset managers, or private funds; sell-side investment banking or research compliance; independent research compliance; expert network compliance; financial regulatory compliance at Big 4 firms or law firms; or experience with regulators like SFC, MAS, SEC, FINRA, or FCA.

What You'll Get

• Opportunity to build and lead the compliance function for a rapidly growing AI and finance company, offering significant ownership.
• Be part of a Tier-1 USD VC-backed firm recognized for its performance in independent research.
• Direct engagement with CRC, client compliance teams, and regulators, fostering continuous professional growth.
• Competitive compensation package including base salary, performance bonus, and early-stage equity.
• Work within a lean, fast-paced global team spanning the US, Europe, Singapore, Hong Kong, Taiwan, and Japan, with a focus on market impact.