Job ref no.: CT3130845-01#0001
VMS Investment Group (HK) Ltd

Senior Compliance Manager

VMS Investment Group (HK) Ltd


Manage and perform day-to-day compliance works in relation to SFC Type 4 & 9 activities including:


  • Manage the risk and compliance function for the asset management business, play a key role in providing compliance input when setting up new investment products.
  • Set up of new investment fund (mainly offshore funds) by liaison with external legal counsels and internal parties;
  • Perform AML assessment and independence checks;
  • Monitor compliance risk on investment funds/projects;
  • Update compliance policies and procedures, enhancement of compliance control and monitoring program.
  • Supervise junior staff to conduct general compliance work such as licensing, staff dealing and compliance training;
  • Develop the corporate governance function, responsible for CRS and FATCA compliance and reporting.
  • Stay up to date on regulatory changes, assessing impact and advice management for any implications.
  • Produce compliance and risk report for management review on a regular basis.
  • Advise the board and COO in general compliance issues.


  • University graduate, 8 years or above work experience; minimum 5 years of in an asset management compliance in Hong Kong.
  • Strong understanding of information control and conflicts of interest issues, as well as surveillance and monitoring experience
  • Strong knowledge of the Hong Kong SFC rules in relation in investment and fund management, and knowledge of some similar rules in mainland China.
  • Experience in communicating with regulators.
  • Excellent command of spoken and written English and Chinese.
More job information
Job ref no. CT3130845-01#0001
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 8 years - 13 years
Career Level
  • Middle management level
  • Degree
  • 5-day week
  • Discretionary bonus
  • Education subsidies
  • Insurance plan
  • Medical plan