Compliance Director, Mutual Funds

Key Responsibilities

1. Ensure compliance with SFC Code on Unit Trusts and Mutual Funds, AML/CTF requirements, and other applicable Hong Kong regulations.
2. Design, implement, and update compliance policies, procedures, and monitoring programs tailored to mutual fund operations.
3. Identify, assess, and mitigate compliance risks across fund distribution, investment management, and operational processes.
4. Oversee timely and accurate submission of regulatory filings, disclosures, and reports to the SFC and other authorities.
5. Provide compliance training to staff and advise portfolio managers, sales teams, and operations on regulatory requirements.
6. Lead internal audits, manage external regulatory inspections, and investigate compliance breaches.
7. Act as the primary contact for regulators, trustees, custodians, and external auditors on compliance matters.

Qualifications

1. Bachelor’s degree in Law, Finance, or related discipline; professional qualifications (e.g., CPA, CFA, CAMS) preferred.
2. Minimum 10–12 years of compliance experience within asset management or mutual funds.
3. Strong knowledge of Hong Kong SFC regulations, mutual fund structures, and distribution frameworks.
4. Proven track record in managing compliance teams and building effective compliance frameworks.
5. Excellent communication skills in English and Cantonese; Mandarin proficiency is an advantage.