Legal & Compliance Manager (Leading Asset Manager)

A leading asset management firm is seeking a proactive and detail-oriented professional to join the Legal, Compliance & Internal Audit team. In this pivotal role, you will be instrumental in safeguarding the firm's integrity across multiple jurisdictions (HK, US, Cayman). You will go beyond routine checks to contribute to strategic compliance initiatives, fund launches, and process optimizations, ensuring the operation is at the highest standards of regulatory excellence.

Responsibilities

• Manage and execute the firm’s core compliance program, ensuring adherence to regulations from the HK SFC, US SEC, and CIMA across key areas including AML/KYC/CTF, PEP screening, and FATCA/CRS reporting.
• Conduct independent compliance monitoring and internal audit reviews, evaluate the effectiveness of policies and procedures, and lead updates to compliance and operational manuals in line with the HK SFC’s FMCC and other regulatory mandates.
• Proactively monitor regulatory developments, technology trends (RegTech), and industry best practices to assess their impact and advise on strategic enhancements to the firm’s control environment.
• Serve as the primary coordinator for external advisors (legal, audit, tax, brokers) on compliance-related matters and manage regulatory inquiries and reporting.
• Design and deliver effective training programs to firm colleagues on regulatory obligations, policy changes, and compliance awareness.
• Provide integral compliance and operational risk support for strategic projects, including the launch of new funds and the optimization of business processes.

Requirements

• Bachelor’s degree in Law, Accounting, Finance, Business Administration, or a related discipline.
• Minimum of 3 years of direct experience in compliance, internal audit, or legal advisory within financial services, a professional services firm (Big 4/law), or a combination thereof. Candidates with more extensive experience will be considered for the Manager title.
• Strong working knowledge of the regulatory frameworks governing asset managers, particularly HK SFC requirements. Experience with US SEC or CIMA rules is a significant advantage.
• Professional certifications (e.g., CPA, HKICPA modules, ICA Diploma in AML/Compliance) are highly preferred.
• Exceptional analytical, written, and verbal communication skills in English, with the ability to translate complex regulations into clear, actionable guidance.
• Proven to be a detail-oriented, highly organized self-starter who can manage multiple priorities effectively and collaborate as a strong team player.