Company Overview:
Our client is a newly established fund management firm in Hong Kong that is well backed by reputable global financial institutions. Positions as the firms international investment and distribution hub, the Hong Kong office is in the early stages of building its team and securing SFC licenses. This is an exciting opportunity to be part of a founding team with strong institutional backing and global ambitions.
Position Overview:
The firm is seeking a hands-on Manager-In-Charge (MIC) for Compliance to partner closely with the CEO in building and executing the compliance framework and processes. The ideal candidate will have prior experience working in SFC-regulated firms, strong knowledge of relevant regulations, and the drive to operate in a fast-paced, entrepreneurial environment.
Key Responsibilities:
•Serve as the firms designated Manager-In-Charge (MIC) for compliance under SFC requirements
•Lead the setup and implementation of the compliance framework, policies, and monitoring procedures
•Support the SFC license application for Type 1, 4, and 9 regulated activities
•Provide timely and practical compliance advice to business stakeholders
•Maintain up-to-date knowledge of regulatory developments and ensure firm-wide compliance
•Liaise directly with the SFC and other regulators as needed
•Promote a strong compliance culture and deliver internal training as required
•Partner closely with the CEO and leadership team on regulatory governance and risk oversight
Requirements:
•5 to 8 years of relevant compliance experience, preferably within securities or asset management firms. Experience working in a Chinese financial institution is a plus.
•Solid understanding of SFC regulations, especially those related to Type 1, 4, and 9 activities
•Prior involvement in SFC license applications is strongly preferred
•Effectively bilingual in English and Chinese (both written and spoken); Cantonese is a strong advantage
•Proactive, hands-on, and able to work well under pressure
•A strong team player with excellent communication and interpersonal skills
•Ability to thrive in a start-up or build-out environment, demonstrating adaptability and initiative
Whats on Offer:
•Opportunity to be part of a strategic build-out of a new fund platform
•High visibility and direct reporting line to senior leadership
•International exposure with strong support from globally recognized shareholders