Compliance | Associate Director | US Asset Management Firm

  • Location: Hong Kong
  • Salary: 1.2M HKD per annum
  • Job Type: Full time

My client is a US-based Asset Management firm looking for an Associate Director with 10 years of prior experience. This position will sit in the firm's office in Hong Kong. You will directly report to the Chief Compliance Officer in New York.

My client is a US-based Asset Management firm currently looking for an Associate Director with around 10 years of prior experience in the asset management compliance space. This position will sit in the firm's office in Hong Kong. You will directly report to the Chief Compliance Officer in New York.

The Compliance Team
  • A team of 7 people across the Greater China (3 in Shanghai, 4 in Hong Kong)
  • A diverse mix of professionals who have worked for other multinational asset managers and investment banks previously
The Responsibilities of the Associate Director
  • Primarily focus on investment restrictions monitoring and trade approval
  • Conduct regular compliance monitoring procedures and checking
  • Assist in review of marketing materials
  • Handle client reporting
  • Handle trade and staff dealing approval and monitoring and review trade-related and staff dealing-related reports
  • Assist in other tasks assigned and ad-hoc projects
The Requirements of the Associate Director 
  • Bachelor Degree with major in Accounting, Finance, Law, Business or related discipline
  • Minimum 10 years’ experience in handling compliance matters, experience with fund house is preferred
  • Familiar with SFC codes and guidelines other relevant regulatory requirements
  • Good analytical and communication skills and able to work independently
To learn more about this position, please apply directly to this post or call Roshan directly at +852 3757 9686. Do not miss out on this exciting opportunity!