Posted 2 weeks ago
  • Client Portfolio             :          
  • Role                             :           Compliance  
  • Remuneration             :           up to HK$780K base
  • Location                       :           Hong Kong

A large asset management firm in Hong Kong is looking for a seasoned compliance candidate with business compliance background to be part of their well-established compliance team.

Responsibilities of the role:

  • Perform day-to-day compliance works in relation to establishment, structuring, maintenance, due diligence and management of different types of funds, including SFC-authorised funds, UCITS ETFs and Cayman private funds
  • Liaise with regulatory authorities (mainly the SFC) and external counsels on inquiries and on-going reporting matters, esp. investment product related matters
  • Investment Compliance experience will be a plus. To set up compliance controls including general and investment compliance controls, familiar with Familiar with Bloomberg AIM CMGR
  • To monitor regulatory changes and developments in relation to businesses and products in respect of the relevant jurisdictions (including HK, mainland China and EU), assess impact and advise the head of Legal and Compliance
  • Provide compliance advice to business units in relation to Type 1, 4 and 9 licence activities

Requirements of the role:

  • Degree in Law, Finance or Accounting or related disciplines
  • Minimum 5 years of compliance experience in financial institutions and/or regulatory bodies with at least 1-2 years specialised in asset management business; experience in SEC investment advisor licence or legal matters is a plus    
  • Good command of written and spoken English and Chinese/Mandarin as you will be required to read Chinese policy and procedures
  •  Ability to multi-task and meet tight deadline or market conditions.

Interested applicant, please submit your resume to

Company Reg. No.: 201131609D: Licence No.: 11C4684 :  EA Reg No: R2196467

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