Job Summary:
Our client is one of the largest Investment Management firm based in APAC. They are looking for a compliance officer to join their team to help expand their fund distribution channel to the insurance company that which they are closely related.
This will be responsible for ensuring firm to maintain full compliance with all applicable regulations and guidelines set forth by the Hong Kong Securities and Futures Commission (SFC), Insurance Authority (IA), and other relevant regulatory bodies. This role will work closely with the firm's legal, risk, and investment teams to identify, monitor, and mitigate compliance risks.
Key Responsibilities:
- Stay up-to-date on all current and upcoming regulatory changes that may impact the firm's investment management activities
- Conduct ongoing reviews of investment portfolios, trading activity, client communications, and other processes to ensure adherence to regulations
- Develop and implement robust compliance policies, procedures, and control frameworks
- Provide compliance training and guidance to investment management staff
- Act as the primary liaison with regulators; prepare and submit all required regulatory filings and reports
- Investigate and resolve any compliance breaches or client complaints
- Advise senior management on the potential compliance impact of new business initiatives or product launches
- Collaborate with internal audit to coordinate compliance audits and remediation of findings
- Monitor for suspicious activity and report any potential market abuse or financial crimes
Required Qualifications:
- Bachelor's degree, preferably in finance, law, or a related field
- 5+ years of experience in a compliance role, ideally within an investment management or insurance firm in Hong Kong
- Strong working knowledge of SFC, IA, and other relevant regulations
- Excellent verbal and written communication skills in English and Cantonese
- Analytical mindset with ability to identify and mitigate compliance risks
- Proactive, detail-oriented, and able to manage multiple priorities
- Knowledge of investment products, portfolio management, and trading practices
