senior compliance advisor, asset management in Hong Kong

cathleen chen, randstad hong kong
job type
HK$ 55,000 - HK$ 70,000 per month

job details

hong kong
banking & financial services
job type
working hours
HK$ 55,000 - HK$ 70,000 per month
reference number
cathleen chen, randstad hong kong
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job description

  • Top-tier reputable firm, buy-side
  • Great working culture
  • Attractive salary package and benefits

about the company.

Our client is a top-tier reputable buy-side firm in Hong Kong, providing comprehensive and quality financial services to clients across the globe. As part of large business expansion, an outstanding opportunity has arisen for an experienced professional to join their team as Senior Compliance Advisor. about the job. As Senior Compliance Advisor in a top-tier reputable buy-side firm, your prime responsibility will be:
  • Supporting the operations of the group compliance programs by daily monitoring of trade activities for funds and accounts to ensure that their investment guidelines and policy limitations are followed.
  • Implementing effective mechanisms to provide timely reporting and monitoring of complex investment strategies.
  • Supporting the Asset Management Information Barrier program, including assessing inadvertent receipt of non-public information, establishing, and removing information barriers.
  • Providing AMC management with information on current trends and issues recognized during assignments and recommend plans for improvement.
  • Working with the team to ensure ongoing collaboration with local and global regulators and support regulatory change projects.
skills & experiences required.
  • University degree holder in finance, business administration, engineering or relevant discipline
  • 5-10 years of experience in a financial services environment, preferably in the areas of mutual fund compliance, operations, or risk management.
  • You have outstanding written and verbal communication skills
  • You demonstrate strong organizational skills and ability to multi-task without sacrificing quality
  • You have the ability to work independently as well as being part of a team

If you have the right experience and skills for this role and would like to advance your career to the next level, please apply with your updated resume or contact Cathleen Chen (Principal Consultant - Banking & Financial Services) at 852 2232 3482 for further discussion or email you updated resume to


Asset Management, Compliance , trade , trade surveillance, investment compliance


no additional qualifications required

educational requirements

Bachelor Degree