Senior Manager, Compliance- Asset Management

Hong Kong Island Permanent
  • Excellent opportunity to work with one of the largest asset managers
  • Great team culture and good work life balance

About Our Client

Our client is an international asset management firm with a huge presence in Asia. They serve institutional clients and offer all products including HK authorized funds, PE, Hedge Funds and etc.

Job Description

Reporting to the Head of Legal & Compliance, you are responsible for:

  • Draft and update Compliance Policies and Procedures
  • Perform Compliance Monitoring and Review to ensure controls are met
  • Take the lead to review Marketing Materials for Greater China, Europe and Taiwan
  • Assist on AML monitoring and due diligence
  • Act as point of contact to SFC and other regulators and handle all enquiries including inspections, licensing matters and etc.
  • Review colleagues work on licensing matters
  • Monitor personal account dealing and provide training to staff
  • Act as a backup fro Investment Compliance

The Successful Applicant


  • University degree in finance, accounting and law
  • At least 8 years of relevant experience in legal, compliance and risk from asset managers OR SFC
  • Must have knowledge with rules and regulations (SFC and other regulators)
  • Solid product knowledge in HK authorized funds
  • Chinese and English

What's on Offer

  • Great team culture and friendly office
  • Lucrative packages: base and bonuses and other benefits

Jeremy Lam
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Jeremy Lam
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