Asset Management Compliance Specialist

Larson Maddox; Hong Kong; On-site; HKD 480,000 - 720,000; Full time

Job summary

Larson Maddox is assisting an established asset manager in Hong Kong to hire an Asset Management Compliance professional for its Legal & Compliance team. The role involves supporting authorised funds, ETFs, and virtual asset-related products with expert regulatory and product compliance guidance.

You will review fund documentation, monitor regulatory changes, and help draft policies and training to uphold high governance standards across trading and investment activities.

Qualifications

• Bachelor's degree or above in Law with a relevant legal qualification.
• Experience in asset management or fund management compliance.
• Experience with Type 9 regulated activities and mutual fund establishment or compliance.

Responsibilities

• Act as a product compliance specialist for asset management activities, especially authorised funds.
• Provide regulatory and product compliance guidance on trading, investment, and regulatory matters.
• Review fund documents, marketing materials, and offering documents for compliance.
• Conduct regular compliance monitoring and reviews.
• Draft and review internal compliance policies and procedures.
• Provide day-to-day regulatory advice to business units.
• Support mutual fund establishment and ongoing fund compliance.
• Monitor regulatory developments and assess impact on the business.
• Deliver compliance training to stakeholders.

Skills

Regulatory compliance

Asset management

Legal drafting

Stakeholder management

Bilingual English/Chinese

Education

Law degree (LLB/LLM/JD/PCLL or equivalent)

Job description

Larson Maddox is assisting an established asset manager in Hong Kong to hire an Asset Management Compliance professional for its Legal & Compliance team. The role involves supporting authorised funds, ETFs, and virtual asset-related products with expert regulatory and product compliance guidance.

You will review fund documentation, monitor regulatory changes, and help draft policies and training to uphold high governance standards across trading and investment activities.