Compliance and Risk Manager (Asset Management)

CHINA INDUSTRIAL SECURITIES INTERNATIONAL FINANCIAL GROUP LIMITED; Hong Kong; In loco; HKD 900.000 - 1.300.000; Tempo pieno

Descrizione del lavoro

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,

Competenze

• 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.

Mansioni

• 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.

Conoscenze

Regulatory advisory

Compliance monitoring

Fund compliance

Risk management

Attention to detail

Formazione

Bachelor's degree or above

Descrizione del lavoro

Compliance and Risk Manager (Asset Management)

Regulatory advisory — advise investment, product, sales and operations on the SFO, SFC Code of Conduct, Fund Manager Code of Conduct, SFC Handbook / UT Code, AMLO and SFC AML/CFT guidelines; maintain the compliance manual, policies and procedures; track SFC circulars and consultations and assess their impact.

Compliance monitoring — run the annual monitoring programme covering investment restrictions and mandate limits, fair allocation, best execution, connected-person and cross trades, personal account dealing, gifts and entertainment, conflicts of interest, soft dollars and valuation oversight; review marketing materials, factsheets and website content.

Product and fund compliance — support SFC-authorised funds from structuring and authorisation through offering documents, KFS, annual updates, waivers and termination; support private funds and discretionary accounts.

Risk Management - Develop, update and review risk management policies and guidelines; Review policies and procedures to ensure risk management with applicable legal and regulatory requirements; Responsible for the construction and operation of risk control mechanism such as risk preference, quota management and authorization management of the department.

Ad hoc — perform other ad-hoc assignments.

Requirements

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.

Based in Hong Kong, China Industrial Securities International Financial Group Limited (6058.HK) plays a critical and unique role to the globalization strategy of its controlling shareholder, the Shanghai-based Industrial Securities Co., Ltd. (601377.SH).