SFC Authorized Fund Compliance
A leading investment management platform is seeking a Compliance Manager to join its Hong Kong team.
This is an excellent opportunity for candidates with experience covering SFC-authorised funds and public fund regulations who are looking to join a dynamic and growing investment platform.
Responsibilities
- Provide day-to-day compliance advisory support to business stakeholders across investment, product, distribution, and operations teams
- Review and advise on matters relating to SFC-authorised funds, public funds, OFCs, and investment products
- Review offering documents, fund documentation, investor communications, and marketing materials
- Support regulatory filings, notifications, and ongoing reporting obligations
- Monitor regulatory developments and provide guidance on relevant compliance requirements
- Liaise with regulators and external stakeholders where required
- Conduct compliance monitoring and assist in maintenance of compliance policies and procedures
- Deliver compliance training and regulatory updates to internal stakeholders
Requirements
- 4-8 years of compliance, legal, regulatory, or product compliance experience within asset management, fund management, trustee, custodian, regulator, or consulting environments
- Strong knowledge of Hong Kong asset management regulations and compliance frameworks
- Experience with SFC-authorised funds, mutual funds, unit trusts, ETFs, OFCs, UCITS or other regulated investment products
- Familiarity with the UT Code, FMCC, SFC Codes and Guidelines, and related regulatory requirements
- Excellent stakeholder management and communication skills
- Fluent English required; Chinese language skills are advantageous
Preferred Backgrounds
We welcome applications from candidates currently working within:
- Asset Managers
- ETF Platforms
- Mutual Fund / Public Fund Businesses
- Fund Administrators
- Trustees / Custodians
- Regulatory Bodies
- Compliance Consulting Firms
- Product Compliance Teams
What's on Offer
- Exposure to a broad range of investment products and regulatory matters
- Collaborative team environment
- Strong career progression opportunities
- Competitive compensation package
For a confidential discussion, please apply directly or contact me at
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