compliance advisory.

Our client is a prestigious, rapidly expanding Asset Management firm based in Hong Kong. They manage a diverse portfolio across Private Equity and Hedge Funds, catering to institutional investors and HNWIs. With a strong commitment to regulatory integrity and operational excellence, they offer a dynamic environment for a compliance leader to shape the firm’s governance framework.

about the team.You will lead a lean but highly specialized compliance function, reporting directly to the COO. The team culture is entrepreneurial and results-driven, requiring a "hands-on" approach to problem-solving. You will collaborate closely with Investment Managers, Traders, and Operations teams to ensure that compliance is integrated into the investment lifecycle.

about the job.As a Senior Manager, you will be responsible for the full spectrum of compliance duties for an SFC-licensed corporation (Type 4 & 9). You will ensure the firm remains at the forefront of regulatory changes while supporting new fund launches.

- SFC Licensing & Governance: Manage all SFC licensing requirements, including notifications, CPT tracking, and potential RO (Responsible Officer) applications.
- Fund Compliance: Oversee investment mandate monitoring, valuation oversight, and the compliance setup of new offshore fund structures (OFC/SPC).
- Trading Surveillance: Monitor daily trading activities to prevent market misconduct, managing personal account dealing and Chinese Wall policies.
- Regulatory Liaison: Act as the primary point of contact for the SFC, managing FRR reporting and coordinating annual compliance audits.

skills & experiences required.- University degree in Law, Finance, or a related field.
- Minimum 8 years of compliance experience within the Buy Side/Asset Management sector.
- Strong technical knowledge of the SFO and SFC Codes of Conduct, specifically for Type 9 regulated activities.
- Experience in a Chinese Fund House or start-up environment is highly advantageous.
- Excellent proficiency in English and Chinese (including Mandarin).