Senior Compliance Officer / Vice President, Compliance

  • Commensurate with experience
  • Hong Kong
  • Permanent, Full time
  • Taikang Asset Management (HK) Co Ltd
  • 12 Dec 17 2017-12-12

Taikang Asset Management Co., Ltd. (hereafter simplified as “Taikang AMC” or “the Company”) was set up in February 2006 with its predecessor as the asset management centre of Taikang Life Insurance Co., Ltd. Its registered capital reached RMB 1 billion.


Taikang Asset Management (Hong Kong) Company Limited (hereafter simplified as “Taikang Asset (Hong Kong)” or “the Company”) was established in November 2007, a wholly-owned subsidiary of Taikang Asset Management Company, Limited.  Taikang Asset (Hong Kong) has been licensed by the Hong Kong Securities and Futures Commission (“SFC”) for Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activity.  The Company is expanding and is inviting professionals who are inspired in developing their career at Taikang Asset (Hong Kong).   

Our workplace reflects our values.  We offer competitive benefits and development opportunities in the Company, and a culture of innovation that embraces internationalization, standardization, steadiness, collaboration, and career growth.  If this sounds like the choice you want to make, then choose Taikang Asset (Hong Kong)—and make a difference with us.


Job Responsibilities

  • Reporting to the Director, Compliance Department
  • Perform pre and post-trade monitoring of investment guidelines
  • Prepare regulatory filings and application including product registration and licence application
  • Assist the Compliance team head to advise management on any potential regulatory or procedural issues
  • Review sales and marketing collaterals
  • Conduct AML / KYC assessment as required and assist in day-to-day AML monitoring
  • Assist in implementing and monitoring the Ethics program
  • Assist in preparing/updating compliance manual and procedures
  • Support Compliance and business initiatives
  • Conduct Compliance trainings

Job Requirements

  • Finance, Accounting or Law Degree graduate
  • Minimum 5 years of compliance experience in asset management firm
  • Familiar with Bloomberg AIM CMGR is an asset
  • Good command of written and spoken English and Chinese (Cantonese/Mandarin)
  • Good communication and interpersonal skills
  • A quick and enthusiastic learner who can work independently
  • A passionate team player who can work under time pressure
  • Excellent MS Office skills (especially Excel, knowledge in VBA is a definite plus)

Applicant with higher qualification and experience will be considered for Compliance Vice President.  Interested parties please send your application letter and full resume with available date, current and expected salary to

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