senior compliance manager - asset management in Hong Kong

faye zheng, randstad hong kong
job type
HK$ 50,000 - HK$ 70,000 per month

job details

hong kong
job type
working hours
HK$ 50,000 - HK$ 70,000 per month
3 years
reference number
faye zheng, randstad hong kong
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job description

about the company.

My client is an Asset Management firm, who is looking for a Senior Compliance Manager to join the team. about the team. Reporting to Head of Legal and Compliance, you will be working with a small team and perform day-to-day compliance works. about the job.
  • Provide compliance advisor to establishment, structuring, maintenance, due diligence and management of different types of funds
  • Liaise with regulatory authorities (mainly the SFC) and external counsels on inquiries and on-going reporting matters, esp. investment product related matters
  • Set up compliance controls including general and investment compliance controls
  • Carry out relevant compliance activities in ensuring compliance with regulatory requirements, esp. those in Fund Manager Code of Conduct, UT Code and SFO
  • Perform KYC/ CDD/ AML review and monitoring
  • Monitor regulatory changes and developments in relation to businesses and products in respect of the relevant jurisdictions (including HK, mainland China and EU)
  • Provide compliance advice to business units in relation to Type 1, 4 and 9 licence activities
skills & experiences required.
  • Degree in Law, Finance or Accounting or related disciplines
  • Minimum 3 - 5 years of compliance experience in financial institutions and/or regulatory bodies with at least 1-2 years specialised in asset management business
  • Strong knowledge of SFC regulations, AML legislation and other relevant regulatory requirements
  • Hands-on experience in dealing with regulatory bodies and compliance issues and experience in developing compliance framework and policies
  • Excellent written and spoken English and Chinese

Please click the link to apply for this role. Alternatively, for a confidential discussion please contact Faye Zheng at + 852 2232 3467 or email:


Compliance, Regulatory, SFC, KYC, CDD, AML


Degree in Law, Finance or Accounting or related disciplines

educational requirements

Bachelor Degree