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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.

Compliance Manager

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