Compliance Manager - External Asset Manager (EAM) Platform
External Asset Manager (EAM) Platform | SFC Type 4 & 9 Licensed Corporation
Hong Kong
A growing External Asset Manager (EAM) platform is seeking an experienced Compliance Manager to join its Hong Kong office. This is a unique opportunity to take on a broad compliance role within a dynamic and entrepreneurial environment, working closely with senior management, relationship managers, and high-net-worth client advisory teams.
The successful candidate will oversee all aspects of regulatory compliance, AML/CFT, and governance for the firm's SFC-regulated activities, while supporting ongoing business growth and strategic initiatives.
Key Responsibilities
- Act as the primary point of contact for the SFC and manage regulatory communications.
- Oversee the firm's compliance framework for Type 4 and Type 9 regulated activities.
- Provide compliance advice to senior management and front-office stakeholders.
- Manage regulatory filings, licensing matters, inspections, and enquiries.
- Oversee AML/KYC controls, transaction monitoring, and financial crime compliance.
- Conduct compliance monitoring reviews and assess regulatory risks.
- Review client onboarding, discretionary mandates, investment products, and marketing materials.
- Support new business initiatives from a regulatory and compliance perspective.
- Deliver compliance training and foster a strong compliance culture across the business.
- Liaise with external service providers, auditors, legal counsel, and consultants.
Requirements
- Bachelor's degree in Law, Finance, Business, or a related discipline.
- Around 6-10+ years of compliance experience within asset management, wealth management, EAMs, private banking, family offices, or other SFC-regulated financial institutions.
- Strong knowledge of SFC regulations, AML/CFT requirements, and regulatory expectations for Type 4 and Type 9 licensed firms.
- Experience managing regulatory inspections, licensing matters, and compliance monitoring programs.
- Excellent communication and stakeholder management skills.
- Ability to work independently within a lean team environment.
- Fluency in English and Chinese (Cantonese and/or Mandarin).
Why Join
- Broad and highly visible compliance role.
- Opportunity to work closely with senior leadership and business stakeholders.
- Exposure to wealth management, discretionary portfolio management, and high-net-worth client businesses.
- Lean team structure with significant autonomy and ownership.
- Growing platform with strong long-term development opportunities.
FAQs
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