Job ref no.: CT3114843-01#9173

Compliance Manager (Asset Management) (Ref. No.: 22436)

Global Executive Consultants Ltd.

Our client, a Financial Institution, is looking for high-caliber person to fill the position.


  • Provide compliance advisory to businesses in both HK and the PRC for new and ongoing business initiatives and enforcing compliance control systems, procedures and programs.
  • Develop and enhance the compliance infrastructure, policies and procedures and implementing regulatory requirements to mitigate operational and compliance risk.
  • Coordinate and liaise with lawyers and regulators for licensing needs and applications, new business initiatives, authorized fund application and ongoing compliance.
  • Monitor internal controls and clients' compliance requirements with the regulators, and handle on site visits and enquiries from regulators as required.
  • Handle and / or participate ad hoc projects.


  • Degree holder in Law, Finance, Accounting or related disciplines with membership of professional bodies is preferred.
  • At least 5 years compliance experience in asset management or securities field.
  • Familiar with the Companies Ordinance, SFO, AMLO and good knowledge of securities and futures related legislations and regulations.
  • Good command of both spoken and written English and Mandarin.

Interest parties please submit your CV by clicking Apply Now.

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More job information
Job ref no. CT3114843-01#9173
  • N/A
Job Function
Employment Term
  • Permanent
  • Full-time
  • 5 years - 10 years
Career Level
  • Middle management level
  • Degree