Legal and Compliance - Asset Management

Asset Management Compliance Professional



The Opportunity

An established asset management platform is looking to hire an Asset Management Compliance professional to join its Legal & Compliance team.

This opportunity would suit a compliance professional with a legal academic background and relevant experience supporting licensed fund management activities. The successful candidate will provide regulatory and product compliance support across authorised funds, with exposure to areas such as mutual funds, ETFs and virtual asset-related products.

Key Responsibilities

• Act as a product compliance specialist supporting asset management activities, particularly authorised funds.
• Provide compliance advice on trading, investment and regulatory matters.
• Review fund documentation, offering materials and marketing materials.
• Conduct regular compliance monitoring and reviews.
• Draft and review internal compliance policies and procedures.
• Provide day-to-day regulatory and compliance advice to relevant business units.
• Support mutual fund establishment and ongoing fund compliance matters.
• Monitor regulatory developments and assess their impact on the business.
• Deliver compliance training to relevant stakeholders.
• Handle additional compliance matters as assigned by senior management.

Requirements

• Bachelor's degree or above in Law, with an LLB, LLM, PCLL, JD or another relevant legal qualification.
• Professional legal qualification would be an advantage but is not essential.
• Relevant compliance experience within the asset management or fund management industry.
• Experience supporting an organisation conducting Type 9 regulated activities.
• Practical experience in mutual fund establishment or authorised fund compliance.
• Exposure to ETFs or virtual asset-related funds would be an advantage.
• Strong understanding of investment, trading and product compliance matters.
• Strong drafting, analytical and stakeholder management skills.
• Able to work independently and manage multiple assignments.
• Proficiency in written and spoken English and Chinese, including Cantonese and Mandarin.