Compliance Manager - Asset Management Company

  • -
  • Hong Kong
  • Permanent, Full time
  • Global Associates
  • 24 Nov 17 2017-11-24

Our client is a well established local asset management company. It is inviting application for the position of Compliance Manager.

Job Description:


Reporting to the Chief Executive – Asset Management, the job holder will focuses on business compliance and investment compliance with the following responsibilities:



  • Provide advice to business units and support on full spectrum of compliance functions, including but not limited to implementation of compliance policy, procedures and other compliance controls etc.
  • Ensure that business activities are in compliance with latest statutory and regulatory requirements
  • Conduct regular or ad-hoc compliance monitoring procedures and checking such as review of customer account opening documents etc.
  • Review business processes and new initiatives by the business units to ensure compliance with regulatory requirements
  • Identify and evaluate compliance risks of the business activities
  • Monitor internal controls, review and establish compliance policies & procedures to meet with regulatory requirement and make recommendation on existing policies and procedures for enhancement
  • Handle enquiries or requests from the regulators
  • Complaint handling, investigation and updating of complaint register
  • Assist in tracking regulatory changes and ensure related business units are well informed
  • Provide compliance advisory and assist the related business units in understanding and addressing all applicable laws and regulations



  • University degree in Law, Finance, Business or other related disciplines
  • Minimum 8 years of relevant experience working with regulator, financial institutions, asset management or professional services firm in Hong Kong
  • Good knowledge of broad range of asset management products
  • Committed to maintaining a positive relationship with stakeholders
  • Well versed in SFC and other related legislations and guidelines
  • Hands on experience of working and liaison with regulatory bodies
  • Excellent communication, interpersonal and influencing skills
  • Self-motivated and pro-active team player with strong problem solving skills
  • Excellent command of written and spoken English and Chinese


If you are interested please send your full resume in MS Word format, along with salary history and expectation to Daniel Luk ( and a cc: copy to