合规经理（资管方向）

About the role

This role involves compliance oversight of asset management products, including private fund structures such as Cayman, BVI, OFC and LPF vehicles, and compliance monitoring over investment and trading activities. You will liaise with internal stakeholders, external counsel, auditors, fund service providers and regulators on compliance-related matters, and provide compliance support for new business initiatives, product launches and operational change projects.

Key responsibilities

• Assist in the compliance oversight of asset management products, including private fund structures such as Cayman, BVI, OFC and LPF vehicles
• Support compliance monitoring over investment and trading activities, including personal account dealing, information barriers, investment restrictions and related control processes relevant to asset management businesses
• Liaise with internal stakeholders, external counsel, auditors, fund service providers and regulators on compliance-related matters
• Provide compliance support for new business initiatives, product launches and operational change projects
• Provide day-to-day compliance advice on AML / CFT matters, including client due diligence, enhanced due diligence, KYC reviews, suspicious transaction escalation and ongoing monitoring
• Assist with client onboarding to ensure all account opening information and supporting documents are complete, accurate and compliant with internal KYC / AML requirements
• Support licensing and ongoing regulatory matters, including annual returns, business and risk management questionnaires, WINGS filings and other notifications to the SFC
• Review and update compliance manuals, AML / CFT policies, internal procedures and control frameworks to ensure alignment with SFC regulatory expectations

About you

• Bachelor's degree or above in Law, Finance, Business Administration or a related discipline
• Around 3 to 5 years of compliance experience gained in asset management, fund management, private banking, securities or other regulated financial institutions
• Working knowledge of the Securities and Futures Ordinance, relevant SFC Codes and Guidelines, and Hong Kong regulatory requirements applicable to licensed corporations
• Practical experience in AML / CFT, KYC onboarding, client due diligence and ongoing monitoring is required
• Strong sense of responsibility, able to work independently and handle multiple tasks under pressure
• Good interpersonal and communication skills, with strong written and spoken English and Chinese