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Compliance Officer (Asset Management)

Job description

Key Responsibilities:

  • Directly report to the Head of Compliance in ensuring compliance with relevant legal and regulatory requirements, as well as internal policies and procedures.
  • Assist in launching and maintenance of Hong Kong domiciled funds
  • Serve as a liaison between internal teams (Investment, Product, Risk, Finance, Compliance, Legal) and external partners (Custodians, Administrators, Auditors, External Legal teams and regulators)
  • Contribute to new business initiatives and licensing requirements, providing coherent and consistent compliance advice on regulations, policies, and products.
  • Establish, review, and update internal rules, policies, and guidelines to ensure alignment with regulatory standards and industry best practices.
  • Monitor and review compliance and risk matters related to operations and investments, ensuring ongoing adherence to anti-money laundering (AML) requirements.
  • Collaborate with internal teams and external partners for effective fund portfolio monitoring and compliance advisories.

Requirements:

  • Degree or professional qualification in accounting, business, law or related field
  • Experience in compliance/audit/operational risk
  • Knowledge of regulations supervised by Regulators such as Hong Kong Securities and Futures Commission ("SFC"), Hong Kong Monetary Authority ("HKMA")
  • Good communication skills with ability to positively influence senior management
  • High degree of judgement and good problem-solving skills; result-oriented to ensure sound implementation of control and compliance processes/procedures.