Compliance Associate

Fosun 复星; Hong Kong; Sur place; HKD 480 000 - 720 000; Plein temps

Résumé du poste

Fosun Asset Management Limited in Hong Kong is seeking an experienced Compliance Officer to manage SFC licensing matters, AML/KYC assessments, and ongoing regulatory obligations. You will review materials and support audits and regulatory filings.

The role requires a solid grasp of Hong Kong SFC codes, fluent English and Chinese, and the ability to work under pressure within a dynamic asset management environment.

Qualifications

• Bachelor’s degree or above; a degree in Law is highly preferred (degrees in Finance or Accounting will also be considered).
• 3 to 5 years of hands-on compliance experience, preferably within the asset management industry.
• Solid understanding of Hong Kong SFC codes and guidelines.
• Excellent command of written and spoken English and Chinese (Cantonese and Mandarin).
• Strong analytical skills with a proactive, independent, and enthusiastic working attitude.
• A good team player who can manage multiple tasks efficiently under time pressure.
• Proficient in MS Office; familiarity with Bloomberg AIM CMGR or VBA is a definite plus.

Responsabilités

• Handle SFC licensing matters, including new applications and ensuring ongoing licensing obligations are met.
• Conduct AML/KYC assessments and assist in day-to-day transaction monitoring.
• Perform routine compliance monitoring and testing to ensure business operations align with internal policies and SFC regulations.
• Review and approve sales, marketing, and client-facing materials.
• Assist in pre-trade and post-trade monitoring against internal investment guidelines.
• Prepare regulatory reports/filings and provide support on corporate secretarial matters.
• Support the team in regulatory audits, investigations, and the delivery of internal compliance training.

Connaissances

English & Chinese proficiency

Analytical skills

Teamwork under pressure

Formation

Bachelor’s degree or above; Law preferred

3–5 years compliance experience (asset management)

Outils

MS Office

Bloomberg AIM CMGR

VBA

Description du poste

Fosun Asset Management Limited, sits under the umbrella of Fosun International Limited (00656.HK), was incorporated in Hong Kong under the Companies Ordinance of Hong Kong as a limited liability company on July 8, 2013, and is licensed with the Securities and Futures Commission of Hong Kong effective March 3, 2016. Fosun Asset Management is also registered with US Securities and Exchange Commission effective March 2, 2018.

Key Responsibilities:

• Handle SFC licensing matters, including new applications and ensuring ongoing licensing obligations are met.
• Conduct AML/KYC assessments and assist in day‑to‑day transaction monitoring.
• Perform routine compliance monitoring and testing to ensure business operations align with internal policies and SFC regulations.
• Review and approve sales, marketing, and client‑facing materials.
• Assist in pre‑trade and post‑trade monitoring against internal investment guidelines.
• Prepare regulatory reports/filings and provide support on corporate secretarial matters.
• Support the team in regulatory audits, investigations, and the delivery of internal compliance training.

Qualifications:

• Bachelor’s degree or above; a degree in Law is highly preferred (degrees in Finance or Accounting will also be considered).
• 3 to 5 years of hands‑on compliance experience, preferably within the asset management industry.
• Solid understanding of Hong Kong SFC codes and guidelines.
• Excellent command of written and spoken English and Chinese (Cantonese and Mandarin).
• Strong analytical skills with a proactive, independent, and enthusiastic working attitude.
• A good team player who can manage multiple tasks efficiently under time pressure.
• Proficient in MS Office; familiarity with Bloomberg AIM CMGR or VBA is a definite plus.