Compliance Director - Global Asset Management Firm
Compliance Manager / Director - Global Asset Management Firm
We are working with a leading global asset management platform to appoint a Compliance Senior Manager / Director to support its funds business in Asia. This role sits within a well-established regional compliance team and will focus on regulatory advisory and oversight for SFC-authorised products, including mutual funds and ETFs.
Key Responsibilities:
- Provide compliance advisory support to the funds business, with a primary focus on SFC-authorised funds (including public funds and ETFs)
- Ensure ongoing compliance with applicable Hong Kong regulatory requirements, including the SFC Code on Unit Trusts and Mutual Funds
- Oversee product lifecycle compliance matters, including fund launches, regulatory filings, and ongoing disclosures
- Review offering documents, marketing materials, and client communications to ensure regulatory alignment
- Stay abreast of regulatory developments and assess implications for the platform, providing practical guidance to stakeholders
- Support regulatory interactions, including SFC inquiries, inspections, and filings
- Partner with regional and global teams on cross-border fund distribution and regulatory matters
- Contribute to the enhancement of compliance frameworks, policies, and internal controls
Requirements:
- 7-20 years of compliance experience within asset management, with a strong focus on ETF
- In-depth knowledge of Hong Kong regulatory requirements relating to public funds, with hands-on experience supporting mutual funds and/or ETFs
- Strong familiarity with fund structures, product governance, and regulatory expectations across the asset management lifecycle
- Strong stakeholder management skills, with the ability to engage effectively with investment, product, and distribution teams
- Detail-oriented, with sound judgement and the ability to operate in a fast-paced, international environment
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