Compliance Manager

  • Attractive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • ALS Recruit , EA Licence No: 16S8075
  • 20 Sep 18 2018-09-20

Our client is an asset management firm who offers investment management expertise through equity and fixed income funds. They are seeking for a Compliance Manager to join their team in Hong Kong.

Principal responsibilities

  • Review and update internal and compliance policies, manuals and guidelines
  • Monitor and report on relevant regulatory developments and market practices
  • Handle internal enquires regarding rules/laws about asset management
  • Ensure all compliance related information and publications are properly communicated to relevant departments
  • Ensure continuing compliance with applicable licensing requirements and to maintain relationship with all relevant regulatory bodies
  • Liaise and coordinate with internal and external parties including regulators, external legal counsel and auditor
  • Provide on-going ad-hoc guidance to employees on various compliance issues to maintain good industry practice and relevant training to all staff

To succeed in this role, you will require the following demonstrable skills and attributes:

  • At least 3 - 5 years of relevant experience in the asset management or financial services industry in a compliance capacity
  • Demonstrate strong knowledge of local regulatory compliance requirements for asset management¬†
  • Experience in dealing with regulatory matters and confident in interacting with regulators
  • Able to work independently
  • Excellent communication (both verbal and written) and interpersonal skills, with experience in dealing with stakeholders at all levels
  • Proficient in Mandarin is essential as there are extensive interaction with Chinese speaking stakeholders

To apply, please email your resume to