Compliance Manager - Global Asset Management Firm
Position Overview:
We are seeking a highly motivated and experienced Compliance Manager to join the regional compliance team in Hong Kong. This role will play a key part in ensuring the firm's operations remain fully compliant with local and international regulatory requirements, particularly in relation to Hong Kong retail funds and distribution activities.
Key Responsibilities:
- Oversee and implement compliance policies and procedures in accordance with SFC and other regional regulatory requirements
- Provide compliance advisory support to investment, operations, and distribution teams
- Manage licensing obligations and ensure timely regulatory filings
- Review and approve marketing materials to ensure compliance with regulatory standards
- Monitor regulatory developments and assess their impact on business operations
- Conduct internal compliance training and promote a strong compliance culture
- Liaise with regulators, auditors, and internal stakeholders on compliance matters
- Support distribution compliance across multiple jurisdictions, with a focus on Hong Kong retail fund offerings
Qualifications:
- Bachelor's degree in Law, Finance, or a related discipline; legal or compliance certifications preferred
- Minimum 6-10 years of compliance experience within asset management or financial services
- Strong knowledge of SFC regulations, Hong Kong retail fund compliance, licensing, and distribution requirements
- Experience in marketing material review and distribution compliance
- Excellent communication and interpersonal skills
- Fluent in English and Cantonese; Mandarin is a plus
What's on Offer:
- Opportunity to work with a globally respected asset manager
- Exposure to regional and global compliance initiatives
- Competitive compensation and benefits package
- Collaborative and inclusive work culture
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