Compliance Manager

About the role

We are seeking an experienced compliance professional to join us as our Compliance Manager, a core pillar of our SFC Type 4&9 licensed operations. You will serve as the Manager-in-Charge (MIC) – Compliance under the SFC Manager-in-Charge regime, accountable to the SFC for the overall effectiveness of the compliance function.

Key responsibilities

• Serve as the Manager-in-Charge (MIC) – Compliance under the SFC Manager-in-Charge regime, accountable to the SFC for the overall effectiveness of the compliance function
• Design, implement and maintain a fit-for-purpose compliance framework for a Type 4&9 licensed corporation, including policies, procedures and monitoring programmes
• Ensure adherence to the SFC Code of Conduct, Fund Manager Code of Conduct, AML/CTF Guidelines, and all applicable SFC circulars and codes
• Oversee regulatory reporting to the SFC, including incident reporting, licence applications, and ongoing submissions
• Act as the primary compliance liaison with the SFC, external counsel, and internal stakeholders (including the RO, board, and investment teams)
• Conduct compliance monitoring, risk assessments, and reviews of marketing materials, PPMs, and investor communications
• Maintain and enhance AML/KYC and investor onboarding frameworks
• Advise on cross-border regulatory matters, including fund structuring (SPC/LPF/OFC), SFC authorisation processes, and MIC compliance structure requirements

About you

• Degree in Law, Finance, or related discipline; CFA, CAMS, or HKICS qualifications are advantageous
• Minimum 5 years of relevant compliance experience within Hong Kong asset management, ideally with exposure to SFC Type 9 licence holders
• Solid understanding of the SFC regime and hands-on experience acting as or supporting an MIC
• Strong working knowledge of the Securities and Futures Ordinance (SFO), SFC Code of Conduct, and Fund Manager Code of Conduct
• Experience with SFC fund authorisation processes, private fund structures (PE, hedge funds, OFC), and investor-facing documentation
• Proven ability to engage directly with the SFC and manage regulatory examinations or enquiries
• Fluency in English and Chinese (Cantonese and/or Mandarin) required for regulatory and stakeholder engagement
• Good interpersonal skills and ability to communicate effectively with internal/external stakeholders
• Strong organizational and time management skills with ability to prioritize tasks and perform effectively within strict deadlines
• Proficient in the use of MS Office tools in particular MS Excel