Compliance Assistant Manager/Manager

Key Responsibilities

• Develop, implement, and monitor compliance policies and procedures to ensure adherence to Hong Kong SFC regulations and other applicable laws.
• Conduct regular reviews of compliance systems and controls to ensure they remain effective and up to date.
• Monitor the effectiveness of internal procedures and identify areas for improvement.
• Provide timely reporting to senior management on compliance risks, regulatory updates, and any breaches or issues.
• Assist in regulatory filings, licensing matters, and inspections by the SFC or other regulatory bodies.
• Conduct compliance training for employees to enhance awareness of regulatory requirements.
• Stay updated on new and amended regulations affecting the firm’s operations and advise on necessary changes.

Qualifications & Experience

• Minimum 3 years of compliance experience within a Hong Kong retail fund manager, preferably with exposure to Type 4 and Type 9 licensed activities.
• Strong knowledge of SFC rules, AML/CFT regulations, and other Hong Kong financial laws.
• Proven experience in developing, reviewing, and enhancing compliance frameworks.
• Ability to monitor and assess compliance risks and report findings to senior management.
• Strong analytical, problem-solving, and communication skills.
• Fluency in English and Chinese (Cantonese/Mandarin) is preferred.