Senior Compliance Officer, Global Asset Management

Job Title: Senior Compliance Officer, Global Asset Management
Contract Type: Permanent
Location: Hong Kong
Reference: (03_120718)
Contact Name: Gina Hui
Contact Email:
Job Published: July 12, 2018 17:00

Job Description

Our client, a Global Asset Management firm is looking for a Senior Compliance Officer to join their Hong Kong Compliance team. This individual will handle all Hong Kong licensing related matters, reviewing marketing materials, dealing in investment compliance breaches and liaising with regulators, custodian or trustees where deemed necessary.


  • To review marketing materials and financial promotions to ensure adherence to applicable regulatory requirements and industry best practice
  • To handle investment compliance breaches and provide supervision on daily licensing‐related matters
  • To compile regulatory compliance reports to regulators, auditors, clients and/or trustees
  • To prepare compliance reports and certifications; and liaised with regulators such as SFC and MPFA
  • To design and perform preliminary local compliance risk assessments
  • Implement compliance monitoring programs in a timely and efficient manner and to update local compliance manuals, policies, and procedures where appropriate


  • University degree with a minimum of six years relevant experience in the financial services industry, preferably gained from asset management companies and/or regulatory authorities
  • Knowledge of SFC and MPFA regulations and other regulatory requirements in Hong Kong
  • Knowledge of regulator and/or asset management firm operating in Hong Kong preferable
  • Proactive and independent and work with minimal supervision to solve problems of moderate scope and complexity
  • Basic presentation skills (e.g. staff meetings, multi‐functional meetings, management
  • meetings)
  • Good command of written and spoken English and Chinese including Mandarin