about the team.
You will join a sophisticated legal and compliance function comprised of seasoned professionals. The team culture is collaborative and execution-focused, valuing clear communication and practical problem-solving. This is an environment where your regulatory expertise will be directly integrated into business decision-making.
about the job.
Provide day-to-day compliance support for regulated activities, focusing on asset management and AML/KYC matters.
Manage regulatory, statutory, and operational compliance, including research, reviews, and monitoring.
Prepare comprehensive compliance reports, management updates, and papers for Board or committee review.
Monitor regulatory developments from the SFC, HKEX, and PCPD to assess business impact and provide guidance.
Draft, review, and maintain compliance manuals, policies, procedures, and all regulatory correspondence.
Liaise with various business units to ensure the effective implementation of internal controls.
Support regulatory communications, including inspections, enquiries, and formal submissions.
Design and deliver compliance training and awareness programmes for staff.
Conduct internal reviews and investigations, preparing detailed reports where required.
Supervise and provide mentorship to junior team members within the function.
skills & experience required.
University degree in Law, Finance, Accounting, or a related discipline.
6-8 years of relevant compliance experience, ideally within asset management, listed companies, or the REIT sector.
Strong technical knowledge of SFC Type 9 licensing, Listing Rules, Fund Manager Code of Conduct, and REIT Code.
Proven ability to provide practical compliance advice with strong analytical and investigative skills.
Fluent in English, Cantonese, and Mandarin is essential.
Experience dealing directly with the SFC is highly preferred.
Immediate availability will be considered a significant advantage.
Candidates with less experience may be considered for the Assistant Manager title.
