Senior Compliance Officer (Assets Management)

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • GF Holdings (Hong Kong) Corporation Limited
  • 15 Feb 18 2018-02-15

GF Holdings (Hong Kong) Corporation Limited is a wholly-owned subsidiary set up in Hong Kong by GF Securities Co., Limited, responsible for managing and planning the business of all Hong Kong based wholly-owned subsidiaries of GF Securities.

Senior Compliance Officer (Assets Management)

Compliance Department of GF Holdings (Hong Kong) is a centralized control function to ensure the business of the firm are in compliance with the relevant regulations and group policies. Compliance Department provides operational and advisory support to both the holding company and its subsidiary companies.

Senior Compliance Officer (Assets Management) is responsible for the development, implementation, monitoring and testing of the regulatory and compliance program of the Assets Management and “Buy-side” business, and ensure that the rules, policies and regulations are properly followed.


  • Review and enhance the existing policies and procedures to ensure a robust, current and high quality compliance control program for supporting the business growth
  • Develop, implement, and monitor compliance program for new business
  • Perform monitoring over business processes and controls, and surveillance on the staff’s personal dealing and company’s trading activities to identify any potential insider trading and breach of Chinese-Wall policies.
  • Provide AML/KYC advisory and operational support
  • Identify compliance gaps and recommend necessary changes to procedures to ensure adherence to regulatory and firm requirements
  • Review, draft and implement compliance policies and procedures
  • Develop and provide compliance training
  • Handle regulatory reporting, inquiries, investigation, inspections, corporate licensing related matters and ad-hoc projects


  • Minimum three years compliance experience, or experience in corporate functions covering Assets Management business, e.g. Internal Audit or Risk covering Compliance and securities business
  • Strong communication skills and abilities in analytical thinking, problem solving, research, and time management
  • Fluent English and Mandarin and able to write quality Chinese
  • Experience of hedge funds or regulators a strong plus

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salaries and date of availability to Human Resources Department (i) by mail: 29/F, Li Po Chun Chambers, 189 Des Voeux Road Central, Hong Kong; OR (ii) by clicking "APPLY NOW".

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