Regional Compliance Manager - Buy side

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • ConnectedGroup Limited
  • 15 Dec 17 2017-12-15

My client is a global asset management firm.

My client is a global asset management firm.


  • Take charge of investment fund registration and applications, from preparation of application documents to liaison with different parties including regulators, trustees, and external legal advisers, etc.
  • Handle non-compliance issues concerning investment mandates and SFC-authorized funds
  • Review marketing materials to ensure compliance with applicable regulations
  • Update internal compliance policy in light of latest fund regulation developments
  • Provide compliance advice and solutions to product team, sales and marketing team and operation team on various subject matters
  • Handle licensing matters such as licensing representative applications, Manager-in-charge notifications, etc.
  • Draft and/or review distribution agreements and investment management agreements


  • Minimum 5 years of relevant experience
  • Previous employment at the Hong Kong SFC, Taiwanese FSC or one of China's financial services regulators is highly preferable
  • Degree holder preferably in Law, Accounting or business-related disciplines.
  • Self-motivated, independent, pleasant personality with good communication skills, able to communicate effectively at all levels.
  • Good command of written and spoken English and Chinese (including Putonghua)