Compliance Manager - Asset Management
Compliance Manager | SFC Type 4 & 9 Platform | Hong Kong
A growing alternative investment and wealth management platform is seeking an experienced Compliance Manager to join its Hong Kong office. This is a highly visible role offering broad exposure across regulatory compliance, AML/CFT, governance, and strategic business initiatives.
Working closely with senior management, you will play a key role in maintaining a robust compliance framework and ensuring adherence to evolving regulatory requirements.
Key Responsibilities
- Act as the primary liaison with the SFC and other regulatory authorities
- Oversee and enhance the firm's compliance framework, policies, procedures, and controls
- Lead compliance monitoring, reviews, audits, and investigations
- Provide regulatory and compliance advice to business stakeholders
- Support licensing matters, regulatory filings, and ongoing reporting obligations
- Manage AML/CFT compliance programs and related risk assessments
- Oversee employee dealing monitoring and compliance surveillance activities
- Deliver compliance training and promote a strong compliance culture
- Participate in business initiatives, regulatory change projects, and strategic developments
- Potential opportunity to hold MIC responsibilities
Requirements
- Bachelor's degree in Law, Finance, Business, or a related discipline
- Approximately 8+ years of compliance experience within SFC-regulated financial institutions
- Strong knowledge of SFC regulations, licensing requirements, and AML/CFT obligations
- Experience supporting Type 4 and Type 9 regulated activities
- Proven ability to engage with regulators and senior stakeholders
- Strong communication skills in English and Chinese
- Hands-on, commercial, and able to thrive in an entrepreneurial environment
Why Apply
- Opportunity to lead compliance for a growing platform
- Broad exposure across compliance, governance, and regulatory matters
- Direct interaction with senior leadership and business decision-makers
- Entrepreneurial environment with excellent visibility and career progression
- Competitive compensation package
For a confidential discussion, please reach out directly. Whatsapp: +852 9611 0173 or
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