Asset Management Compliance & Risk Lead

CHINA INDUSTRIAL SECURITIES INTERNATIONAL FINANCIAL GROUP LIMITED; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

China Industrial Securities International Financial Group Limited in Hong Kong seeks a Compliance and Risk Manager for Asset Management to advise on regulatory requirements, monitor compliance programs, and support fund governance. The role combines policy development with hands-on risk oversight across SFO, SFC and AMLO guidelines.

You will work closely with front office, operations and legal teams, ensuring ongoing compliance for SFC-authorised funds, private funds and discretionary accounts,

Qualifications

• Bachelor's degree or above.
• 3+ years of relevant experience in an SFC-licensed asset manager, fund manager, fund administrator, law firm or regulator.
• Sound knowledge of the SFO, SFC Code of Conduct, Fund Manager Code of Conduct, UT Code, AMLO and SFC AML/CFT guidelines.
• Advantage: hands-on experience with SFC-authorised funds, from authorisation through ongoing compliance.
• Advantage: ETF compliance experience.
• Advantage: private fund and discretionary account compliance experience, including offering documents, investment guidelines, suitability and investor reporting.
• Advantage: prior SFC or law firm experience (asset management and funds practice); current SFC licensed representative or RO status, or eligibility and willingness to be licensed.
• CPA/ACCA, CFA, FRM preferred but not mandatory.
• Fluent in Mandarin and English; Cantonese a plus.
• Independent, hands-on and detail-oriented, able to challenge the front office while staying commercial.

Responsibilities

• Regulatory advisory — advise on SFO, SFC rules and fund/AMLO guidelines; keep the compliance manual up to date.
• Compliance monitoring — run annual monitoring, review materials and ensure fair, compliant processes.
• Product and fund compliance — support structuring, authorisation, updates, waivers and ongoing governance.
• Risk management — develop and update risk policies; oversee risk control mechanisms.
• Ad hoc — perform other assignments as needed.

Skills

Regulatory advisory

Compliance monitoring

Fund compliance

Risk management

Attention to detail

Education

Bachelor's degree or above

Job description

China Industrial Securities International Financial Group Limited in Hong Kong seeks a Compliance and Risk Manager for Asset Management to advise on regulatory requirements, monitor compliance programs, and support fund governance. The role combines policy development with hands-on risk oversight across SFO, SFC and AMLO guidelines.

You will work closely with front office, operations and legal teams, ensuring ongoing compliance for SFC-authorised funds, private funds and discretionary accounts,