Our client, a Global Asset Management firm, is seeking an experienced and self-driven Compliance Professional to join their Hong Kong team. This key regulatory role offers the opportunity to work closely with the Head of Compliance and serve as a direct liaison with the Securities and Futures Commission (SFC). You will be part of a well-established, stable compliance team, focusing on regulatory and product compliance.
Key Responsibilities:
- Act as the main contact with regulatory authorities, including managing inquiries, exams, and ongoing reporting
- Provide compliance oversight across fund marketing, due diligence, onboarding, and product governance
- Interpret evolving regulations and assess their impact on Hong Kong and China operations
- Advise internal stakeholders on compliance risks, policies, and controls
- Drive compliance projects and contribute to policy development and training
- Work cross-functionally with Legal, Risk, Governance, and Distribution teams
- Lead and support ad hoc initiatives and ensure ongoing regulatory readiness
Ideal Candidate Profile:
- Bachelors degree in Business, Law, or related discipline
- 10+ years of experience in regulatory or product compliance within asset management or a legal advisory firm
- Experience engaging directly with regulators, especially the SFC
- Excellent analytical, communication, and stakeholder management skills
- Self-motivated and organized, capable of working independently