Assistant Compliance Manager (Asset Management Field)

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

Assistant Compliance Manager (Asset Management Field)

• Act as a team member responsible for the matters relating to SFC authorised fund registration, filing and regular reporting, etc. with a compliance experience of investment vehicles in other jurisdiction, such as Cayman Islands, BVI, regarding to FATCA/CRS reporting is an advantage
• Able to independently manage and provide compliance advice on AML and related assignments and issues, e.g. CDD requirements, STR, KYC/AML requirement from both Hong Kong and Cayman Island perspectives
• With experience to support including but not limited to manage general licensing (Annual return, BRMQ and use of WINGS etc.) and ongoing notification matters
• Develops, updates and maintains comprehensive compliance policies and procedures aligned with SFC expectations and the Company’s requirements, and handle inspection and regulatory queries from internal audit team, and regulators
• Assist with client onboarding new clients to ensure information is accurate and in line with KYC/AML policies.

Job requirements

• Bachelor's degree or above in Finance, Business, Law, or a related discipline. Qualification as a Hong Kong lawyer is a strong advantage
• At least 3-5 years of asset management or banking compliance experience, with related exposure to internal control, compliance covering asset management products. Preferably supplemented with relevant compliance qualifications
• Solid knowledge of the Stock exchange, SFO and SFC codes and Guidelines. Good knowledge of research, asset management and investment banking products of HK/ China Mainland/ Overseas markets;
• Experience in developing, implementing and monitoring compliance program, including risk assessments, policy enforcement and regulatory reporting
• Strong self-motivation, with the ability to work independently and under pressure
• Excellent interpersonal skills and communication skills (verbal and written). Proficiency in spoken and written English, Chinese and Mandarin