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Assistant Manager, Compliance (Asset Management)

  • Global Asset Management Firm
  • Strong Corporate Culture
  • Attractive Remuneration Package

Our client is a prestigious investment management firm with a strong history of success across the Asia Pacific region. Reporting to the Head of Compliance, a fantastic opportunity has arisen for an experienced Compliance professional to join this dynamic firm.

The key responsibilities for this position are as follows:

  • Provide advice to business on changes to regulatory requirements in Hong Kong.
  • Work with Product team to handle fund authorization related matters to ensure adherence of the SFC codes, guidelines and requirements.
  • Update and implement the policies and operational controls required by SFC and other applicable regulators.
  • Handle new fund applications, notification of changes and updates to SFC and AMCM.
  • Support the development of appropriate compliance policies, procedures and associated communication and provide training to new hires.
  • Review and approve marketing materials, and maintain disclaimer database.

Successful applicants will have the following skills and experience:

  • University graduate with minimum 3-5 years of relevant experience in Compliance.
  • Previous working experience in an international investment management firm is a MUST.
  • Strong fund authorization knowledge in Hong Kong and prior experience with the SFC is required.
  • Ability to work well in a team environment, collaborating with groups of people.
  • Proactive attitude with the ability to work under pressure.
  • Outstanding interpersonal and communication skills.
  • Fluent in English and Chinese.

Information provided is for recruitment purposes only.

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