Senior Compliance Manager

Our client is a well-established securities firm with a strong market presence in Hong Kong.

Responsibilities

• Provide compliance guidance and risk prevention for the company's fund business, including product, sales, operations, and major business decisions.
• Support licensing and daily compliance work (product reviews, compliance checks, and approvals).
• Develop and implement fund compliance policies, procedures, and operating mechanisms to ensure lawful and compliant operations.
• Coordinate with regulators (reports, inquiries, and data requests) and handle regulatory investigations/inspections/enforcement support.
• Build and monitor a fund compliance risk framework, run compliance training, and track HK/international regulatory updates to drive internal improvements.

Requirements

• Degree holder with over 7 years of relevant experience in fund product compliance in securities firms, fund managers or asset management companies.
• Familiar with regulatory requirements, market practice and compliance controls on fund product distribution.
• Fluent in written and spoken English and Chinese.