CLIENT BACKGROUND
A leading Chinese investment firm with a growing presence in Hong Kong is seeking a Compliance Associate with a focus on asset management, particularly authorized funds including ETFs and virtual asset (VA) funds. This is a great opportunity for professionals looking to deepen their expertise in fund compliance within a dynamic and expanding platform.
JOB RESPONSIBILITY
- Act as a product compliance specialist for authorized funds, including ETFs and VA-related funds.
- Provide compliance advice on trading, investment, and regulatory matters.
- Review fund documents and marketing materials for regulatory alignment.
- Conduct regular compliance monitoring and internal policy reviews.
- Deliver compliance training and stay updated on regulatory developments across jurisdictions.
JOB REQUIREMENTS
- 3-5 years of compliance experience in fund management, ideally from a firm with a Type 9 license.
- Candidates with consulting firm background is welcomed.
- Exposure to mutual fund establishment; experience with ETF is a plus.
- Proficient in Chinese (Mandarin & Cantonese) and English.
- Background in finance, accounting, or law preferred.
