Compliance Manager - Asset Management
A well-established international asset management firm is seeking a Compliance Manager to join its Hong Kong office. This role will partner closely with senior management, investment teams, and business stakeholders to provide compliance advisory support across fund management and distribution activities.
Key Responsibilities
- Provide compliance support to business development and investment management teams
- Advise on fund distribution activities and suitability requirements
- Review marketing and promotional materials to ensure regulatory compliance
- Support product launches, ongoing fund operations, and regulatory filings
- Conduct compliance monitoring, surveillance, and thematic reviews
- Provide guidance on SFC regulations, licensing requirements, and applicable regulatory obligations
- Assist in responding to regulatory enquiries and examinations
- Participate in compliance projects, policy enhancements, and control framework improvements
Requirements
- 5+ years of compliance experience within asset management, wealth management, private banking, or other regulated financial institutions
- Strong understanding of Hong Kong regulatory requirements and SFC regulations
- Experience with SFC-authorised funds, public funds, ETFs, or fund distribution activities is highly preferred
- Knowledge of the UT Code and fund governance requirements
- Ability to work closely with investment, distribution, legal, and operations teams
- Strong communication skills in English and Chinese (Mandarin and/or Cantonese)
Why Consider This Opportunity
- Join a growing and well-established asset management platform
- Broad exposure across compliance advisory, investment compliance, and regulatory matters
- High visibility role with direct interaction with senior stakeholders
- Collaborative working environment with long-term career development opportunities
If you are interested in exploring this opportunity confidentially, please reach out directly for a discussion.
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