Compliance Manager (Investment Firm)

As a key member of the compliance team, you will play a pivotal role in ensuring the firm's compliance with regulatory requirements relating to its SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) activities. Working closely with senior management and business stakeholders, you will provide practical compliance advice, enhance the firm's compliance framework, and support a broad range of regulatory, operational, fund-related, and investor-facing matters.

Key Responsibilities

1. Oversee and manage all compliance matters relating to the Company's SFC Type 4 and Type 9 regulated activities.
2. Provide day-to-day compliance advice and guidance to management and business units on applicable regulatory requirements and compliance risks.
3. Maintain, review, and enhance compliance policies, procedures, controls, and monitoring programs to ensure compliance with SFC regulations and industry best practices.
4. Monitor regulatory developments and assess their impact on the business, ensuring timely implementation of regulatory changes.
5. Conduct compliance monitoring reviews, risk assessments, and thematic reviews across the business.
6. Handle compliance-related enquiries from fund administrators, investors, custodians, auditors, and other external service providers.
7. Support fund onboarding, investor onboarding, AML/KYC reviews, and ongoing client due diligence processes.
8. Assist in regulatory filings, notifications, and communications with the Securities and Futures Commission (SFC) and other relevant regulators.
9. Provide compliance training and promote regulatory awareness across the organization.
10. Investigate compliance incidents, identify control weaknesses, and recommend remedial actions.
11. Assist senior management in fostering a strong compliance culture throughout the organization.

Requirements

1. Over 3 years of compliance, legal & compliance, or regulatory experience gained within an asset management firm, hedge fund, private equity firm, family office, securities firm, or other regulated financial institution.
2. Strong knowledge of Hong Kong regulatory requirements, including SFC Codes, AML/CFT regulations, Fund Manager Code of Conduct (FMCC), and requirements applicable to Type 4 and Type 9 licensed corporations.
3. Experience working closely with senior management, business stakeholders, investors, fund administrators, custodians, auditors, and other external service providers.
4. Solid understanding of Hong Kong's regulatory and business environment, with the ability to provide practical, commercially focused compliance guidance.
5. Exposure to fund compliance, investor onboarding, AML/KYC, regulatory reporting, compliance monitoring, and policy development.
6. Familiarity with common law principles and regulatory frameworks relevant to Hong Kong financial services. Candidates with legal training should demonstrate strong exposure to Hong Kong or other common law jurisdictions.
7. Bachelor's degree in Law, Finance, Accounting, Business Administration, or a related discipline.
8. Excellent interpersonal, communication, and stakeholder management skills with the ability to engage confidently with senior executives and business leaders.
9. Near-native written and spoken English and Cantonese are essential.
10. Prior experience working in Hong Kong or an international financial services environment is highly preferred.
11. Self-motivated, detail-oriented, commercially minded, and comfortable operating in a dynamic, entrepreneurial environment.

If you are interested in exploring more of this role or other potential opportunities, let's connect today via WhatsApp or WeChat: +852 5424 6512.

Candidates not selected for this position may be considered for other opportunities that better align with their experience.

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