SFC Authorized Fund Compliance

A leading investment management platform is seeking a Compliance Manager to join its Hong Kong team.

This is an excellent opportunity for candidates with experience covering SFC-authorised funds and public fund regulations who are looking to join a dynamic and growing investment platform.

Responsibilities

• Provide day-to-day compliance advisory support to business stakeholders across investment, product, distribution, and operations teams
• Review and advise on matters relating to SFC-authorised funds, public funds, OFCs, and investment products
• Review offering documents, fund documentation, investor communications, and marketing materials
• Support regulatory filings, notifications, and ongoing reporting obligations
• Monitor regulatory developments and provide guidance on relevant compliance requirements
• Liaise with regulators and external stakeholders where required
• Conduct compliance monitoring and assist in maintenance of compliance policies and procedures
• Deliver compliance training and regulatory updates to internal stakeholders

Requirements

• 4-8 years of compliance, legal, regulatory, or product compliance experience within asset management, fund management, trustee, custodian, regulator, or consulting environments
• Strong knowledge of Hong Kong asset management regulations and compliance frameworks
• Experience with SFC-authorised funds, mutual funds, unit trusts, ETFs, OFCs, UCITS or other regulated investment products
• Familiarity with the UT Code, FMCC, SFC Codes and Guidelines, and related regulatory requirements
• Excellent stakeholder management and communication skills
• Fluent English required; Chinese language skills are advantageous

Preferred Backgrounds

We welcome applications from candidates currently working within:

• Asset Managers
• ETF Platforms
• Mutual Fund / Public Fund Businesses
• Fund Administrators
• Trustees / Custodians
• Regulatory Bodies
• Compliance Consulting Firms
• Product Compliance Teams

What's on Offer

• Exposure to a broad range of investment products and regulatory matters
• Collaborative team environment
• Strong career progression opportunities
• Competitive compensation package

For a confidential discussion, please apply directly or contact me at