Senior Associate Regulatory Compliance

Our client is a leading global asset manager with deep expertise across public and private fixed income and credit markets. The firm is known for its strong investment culture, long-term client partnerships, and commitment to high standards of governance and compliance across regions.

The Regulatory Compliance Officer will support general business and regulatory compliance matters in Hong Kong, with periodic regional coverage across North Asia. This role offers exposure to a broad range of compliance activities within a well-established asset management platform.

The position will be based in Hong Kong.

• Support all aspects of the firm’s compliance programme across Hong Kong and North Asia
• Manage and administer compliance monitoring activities, including:
  • Vendor and distributor onboarding and periodic reviews
  • KYC / AML and sanctions screening
  • Staff trading compliance
  • Marketing materials and client communications review
  • Fund authorisation processes
  • Licensing maintenance and regulatory filings
• Provide regulatory support covering licensing, reporting and conduct requirements
• Conduct compliance monitoring and testing against local regulations, internal policies and industry best practices
• Manage internal and external audits, regulatory reviews, inspections and enquiries
• Participate in regional and APAC-wide compliance initiatives, including collaboration with investment compliance teams
• Assist with compliance training programmes
• Maintain accurate compliance documentation, records and filing systems
• Advise the business on regulatory developments and support enhancements to compliance policies and frameworks

• 3–5 years of experience in compliance and/or audit within financial services, preferably with asset management exposure
• Candidates with stronger experience may be considered at a managerial level
• Degree in Finance, Accounting, Law or a related discipline
• Strong communication skills with bilingual proficiency in English and Chinese (spoken and written preferred)
• Self-motivated, confident and able to work independently
• Strong organisational skills with the ability to manage multiple priorities under pressure

• Reports to the Chief Compliance Officer, North Asia (Hong Kong-based)