Posted on 2021-10-12

Compliance Officer to Compliance Manager - Global Investment Firm in Hong Kong (HK$30K to HK$70K per month)

LMA Recruitment



  • Assist the Head of Compliance and rest of the team in a broad area of responsibilities in Compliance for the Firm’s products domiciled in HK, Luxembourg, Cayman, USA, Ireland and South Korea.
  • Assist in developing and implementing compliance policies / procedures
  • Assist in internal, external and regulatory audits and reporting, including the compliance due diligence questionnaire by counter parties
  • Handle enquires from different business and functional units on compliance matters (eg. SFC FATCA/ CRS)
  • Perform regulatory research and issue Compliance Alerts on new or amended regulations / company policies & procedures
  • Conduct compliance review and/or testing for compliance monitoring purpose of policies and procedures
  • Prepare and submit required reports to SFC (e.g annual reports of SICAV, ETF, BRMQ, survey), MAS and US SEC
  • Handle and monitor staff dealing requests and conduct periodic reporting
  • Handling RFP requests from Marketing & product team and sales
  • Handle AML/KYC refresher from our counterparties
  • Handle licensing related matters of individual and review marketing materials and back up on the investment compliance

Requirements of the role:

  • University graduate
  • At minimum of 4 to 8 years compliance experience from asset management environment
  • Knowledge of SFC regulations and rules
  • Self-starter with strong multitasking, organizational and communications skills (written and oral)

Interested candidates please share your updated resume by clicking Apply Now.

Company Reg. No.: 201131609D: Licence No.: 11C4684 :  EA Reg No: R2196467


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More job information
  • 30,000 - 70,000 / month
Job Function
Employment Term
  • Permanent
  • Full-time
  • 4 years - 8 years
Career Level
  • Non-management level
  • Degree