Assistant Manager / Manager Investment Compliance

Job Title: Assistant Manager / Manager Investment Compliance
Contract Type: Permanent
Location: Hong Kong
Reference: 16176 (01_200618)
Contact Name: Matthew Dorrell
Contact Email:
Job Published: June 20, 2018 10:10

Job Description

Our client, a global Investment Management firm is looking for a high caliber candidate to join their Investment Compliance team.


  • To continuously develop and implement the risk based investment compliance monitoring approach and framework.
  • Monitor the compliance of investment restrictions.
  • Provide Compliance advice on investment management activities, trading activities and investment products.
  • Perform trade surveillance activities and keep track of regulatory changes.
  • Communicate with global compliance counterparts on global projects/initiatives.


  • Investment compliance experience and working knowledge of investment management.
  • 3 - 5 years relevant experience in a related role, e.g. compliance monitoring, internal audit, quality assurance, gained within asset management companies.
  • Bachelor’s degree or equivalent in Accounting/Finance/Law/Business or related disciplines.
  • Proficient in investment compliance monitoring system.

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