Asset Management Compliance Manager (Assistant)

Guotai Junan International; Hong Kong; On-site; HKD 420,000 - 540,000; Full time

Job summary

Guotai Junan International is seeking an Assistant Compliance Manager in Asset Management to drive SFC fund registrations, filings and reporting. You will provide AML/KYC guidance from HK and Cayman perspectives, support licensing and ongoing notifications, and develop robust compliance policies aligned with SFC standards.

The role requires 3–5 years in asset management or banking compliance, strong knowledge of SFC codes, and excellent communication in English, Chinese and Mandarin.

Qualifications

• Bachelor's degree or above in Finance, Business, Law, or related discipline.
• Qualification as a Hong Kong lawyer is a strong advantage.
• At least 3-5 years of asset management or banking compliance experience.

Responsibilities

• Act as a team member responsible for SFC authorised fund registration, filing and regular reporting.
• Provide compliance advice on AML/related assignments (CDD, STR, KYC/AML) from HK and Cayman Island perspectives.
• Support licensing processes (Annual return, BRMQ, use of WINGS) and ongoing notification matters.
• Develop, update and maintain compliance policies aligned with SFC expectations and respond to regulatory queries.
• Assist with client onboarding to ensure information aligns with KYC/AML policies.

Skills

SFC compliance

AML/KYC

Regulatory reporting

Internal controls

Education

Bachelor's degree

HK lawyer qualification

Tools

WINGS

Job description

Guotai Junan International is seeking an Assistant Compliance Manager in Asset Management to drive SFC fund registrations, filings and reporting. You will provide AML/KYC guidance from HK and Cayman perspectives, support licensing and ongoing notifications, and develop robust compliance policies aligned with SFC standards.

The role requires 3–5 years in asset management or banking compliance, strong knowledge of SFC codes, and excellent communication in English, Chinese and Mandarin.