Manager, Investment Compliance

Location: Hong Kong
Contract Type: Permanent
Specialisation: Banking & Financial Services
Salary: HK$40000 - HK$50000.00 per annum
REF: BBBH252782_1637062528

Our client is amongst the leading investment groups based in Hong Kong with a wide range of large-scale investment portfolios and upcoming projects across the region. With their team expanding readily, they are looking for a Manager, Investment Compliance.


  • To develop, test and implement pre-trade and post trade compliance rules in Bloomberg and Portia system as per the investment mandate of the portfolio and regulatory requirements
  • To participate in User Acceptance Testing (UAT) on system automation/enhancements
  • To review and carry out due diligence check on counterparts and handle KYC / AML enquiries
  • Coordinate in investment products launch and registration with relevant regulators
  • Review and update internal policies and procedures in accordance with regulatory and internal requirements
  • Review marketing materials of investment products prior to distribution to clients


  • 4 years+ of experience in financial services environment (preferably in asset management compliance)
  • Strong analytical and problem-solving abilities and attention to detail
  • Strong oral and written communication and presentation skills
  • A team player with good interpersonal skills, assertiveness, and ability to work independently
  • Strong Microsoft Office knowledge, including Excel and Microsoft Access