VP, Reg Comp (Asset manager)

Our client is a leading global asset manager with a long-established presence in Hong Kong and global.

Your new company

Our client is a leading global asset manager with a long-established presence in Hong Kong and a strong reputation across fixed income, alternatives and multi-asset investments. With a sizeable institutional platform and growing regional business, the firm continues to invest in its compliance function to support evolving regulatory requirements and business growth.

Your new role

You will support the Hong Kong and North Asia Compliance team in managing regulatory compliance matters and ensuring adherence to applicable regulatory requirements.
Key responsibilities include:

• Managing and enhancing the firm's compliance monitoring programme
• Conducting compliance reviews and testing across regulatory obligations and internal policies
• Reviewing marketing materials, client communications and product-related documentation
• Supporting AML/KYC, sanctions screening and vendor due diligence processes
• Managing staff dealing reviews and trade surveillance activities
• Supporting SFC licensing matters and fund authorisation processes
• Coordinating internal audits, regulatory inspections and regulatory enquiries
• Advising stakeholders on regulatory developments and policy implementation
• Participating in regional compliance initiatives and projects across North Asia

What you'll need to succeed

• Degree holder in Law, Accounting, Finance or related discipline
• 7+ years of compliance experience gained within asset management, investment management, private markets, securities firms or financial institutions
• Sound knowledge of SFC regulations, asset management compliance and regulatory frameworks
• Experience in compliance monitoring, marketing review, AML/KYC and regulatory reporting
• Exposure to trade surveillance and investment-related compliance matters is advantageous
• Strong stakeholder management and communication skills
• Able to work independently within a dynamic and fast-paced environment
• Proficiency in English is required; Chinese language skills would be an advantage

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or contact Rowina Lo at Hays for a confidential discussion.
E: [email protected] M: [+852 6449 4005](tel:+852 6449 4005)
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.