This is a premier asset management firm with a robust track record of delivering top-tier investment solutions across the Asia-Pacific region.
About the team.
You will join a highly sophisticated and supportive legal and compliance team comprising seasoned industry professionals. The team values open communication, intellectual curiosity, and proactive problem-solving, working closely alongside senior management and investment professionals to safeguard the firm's operational integrity and reputation.
About the job.
Oversee and manage the day-to-day compliance operations for SFC Type 4 (advising on securities) and Type 9 (asset management) regulated activities.
Act as the primary point of contact for the Securities and Futures Commission (SFC) and other relevant regulatory bodies.
Review, update, and maintain comprehensive compliance policies, procedures, and internal controls in alignment with evolving statutory requirements.
Conduct compliance monitoring programmes, including desk reviews, trade surveillance, and marketing material assessments.
Provide timely and accurate advice to investment teams and senior stakeholders regarding regulatory updates, licensing conditions, and operational risks.
Coordinate and manage regulatory filings, financial returns, and licensing applications for the corporation and licensed individuals.
skills & experience required.
Bachelor's degree in Law, Finance, Accounting, or a related discipline.
A minimum of 5 years of compliance public fund experience within the asset management or investment management industry in Hong Kong.
Deep technical knowledge of the SFC Code of Conduct, Securities and Futures Ordinance (SFO), and relevant regulatory frameworks.
Proven experience handling SFC Type 4 and Type 9 licensed entities is highly advantageous.
Excellent communication and stakeholder management skills, with the ability to influence at all levels.
Fluency in written and spoken English, alongside professional proficiency in Cantonese and Mandarin, is required.
If you are interested in this role, please click 'Apply Now' or send your CV directly to javis.cheung@randstad.com.hk.
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