Compliance Manager

Capital Group; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Benefits offered by this job

Competitive base salary

Retirement plan with 15% company_contr

Annual performance bonus

Job summary

Capital Group in Hong Kong seeks a seasoned Compliance Manager to lead regulatory oversight for the firm's HK business. You will provide practical, risk-based advice, partner with Legal, Risk and DSM teams, and ensure alignment with local and APAC requirements, while guiding policy governance and licensing obligations.

This role demands 10+ years in financial services compliance, fluent English and Chinese reading ability, and the ability to influence stakeholders across functions.

Qualifications

• University degree in a relevant field; professional qualifications are an advantage.
• 10+ years of compliance experience within financial services, preferably asset management.
• Fluent English; Chinese reading ability is required.
• Strong knowledge of HK asset management regulatory environment.
• Experience with regulatory change management, licensing obligations and policy governance.

Responsibilities

• Oversees ongoing compliance with HK regulatory requirements and internal policies.
• Monitors regulatory developments affecting HK/China and leads implementation of new requirements.
• Acts as the primary Compliance contact for HK business stakeholders and provides risk-based advice.
• Leads development, review and maintenance of compliance policies, procedures and manuals.
• Supports escalation, reporting and governance communications to management and boards.
• Provides leadership to the HK DSM Compliance associate and coordinates with APAC teams.
• Oversees regulatory filings, licensing obligations and inspections in HK and China as applicable.
• Leads regulatory engagement and supports product-related compliance matters.
• Performs additional responsibilities as assigned.

Skills

Regulatory compliance

Hong Kong regulatory knowledge

Stakeholder management

Regulatory reporting

Written and verbal communication

Education

University degree

Regulatory qualifications (advantage)

Job description

“I can be myself at work.”

You are more than a job title. We want you to feel comfortable doing great work and bringing your best, authentic self to everything you do. We value your talents, traditions, and uniqueness—and we’re committed to fostering a strong sense of belonging in a respectful workplace.

You are more than a job title. We want you to feel comfortable doing great work and bringing your best, authentic self to everything you do. We value your talents, traditions, and uniqueness—and we’re committed to fostering a strong sense of belonging in a respectful workplace. We intentionally seek diverse perspectives, experiences, and backgrounds, investing in a culture designed to celebrate differences. We believe that belonging leads to better outcomes and a stronger community of associates united by our mission. At Capital, we live our core values every day: Integrity, Client Focus, Diverse Perspectives, Long-Term Thinking, and Community.

“I can influence my income.”

You want to feel recognized at work. Your performance will be reviewed annually, and your compensation will be designed to motivate and reward the value that you provide. You’ll receive a competitive salary, bonuses and benefits. Your company-funded retirement contribution will factor in salary and variable pay, including bonuses.

“I can lead a full life.”

You bring unique goals and interests to your job and your life. Whether you’re raising a family, you’re passionate about where you volunteer, or you want to explore different career paths, we’ll give you the resources that can set you up for success.

• Enjoy generous time-away and health benefits from day one, with the opportunity for flexible work options
• Receive 2-for-1 matching gifts for your charitable contributions and the opportunity to secure annual grants for the organizations you love
• Access on-demand professional development resources that allow you to hone existing skills and learn new ones

I can succeed as a Compliance Manager

Takes primary responsibility for the oversight of compliance for Capital Group’s business and operations in Hong Kong, providing timely, practical and risk-based regulatory and compliance advice to business stakeholders. Acts as the primary Compliance contact for the Hong Kong business and provides direction and oversight for the assessment and implementation of new regulatory requirements. The role covers key Corporate Compliance activities, including regulatory and licensing obligations, policy governance, compliance reporting and regulatory interactions. The role also provides local leadership and senior support for Hong Kong Distribution, Sales and Marketing (DSM) Compliance, in coordination with the EA DSM Compliance team. While primarily focused on Hong Kong, the role also provides support across the broader APAC region as required.

Primary Responsibilities/essential Functions

• Oversees and supports ongoing compliance with applicable Hong Kong regulatory requirements and internal policies and standards, including identifying and addressing relevant compliance risks.
• Monitors and assesses regulatory developments affecting the Hong Kong and China business and operations, determines their potential impact, and leads and supports the implementation of new regulatory requirements.
• Acts as the primary Compliance contact for Hong Kong business stakeholders, providing timely, practical and risk-based regulatory and compliance advice on matters affecting business activities, initiatives and operations, and collaborating with Legal, Risk, subject-matter experts and external counsel as required.
• Leads and supports the development, review and maintenance of applicable compliance policies, procedures and compliance manuals, ensuring they remain aligned with regulatory requirements, business activities and internal standards.
• Supports appropriate escalation, reporting and communications to management, governance committees and boards on key regulatory and compliance matters.
• Provides local leadership and senior support to the Hong Kong DSM Compliance associate in relation to distribution, sales, marketing and cross-border activities, including on complex or escalated matters, and provides local back-up as needed. Partners with the APAC DSM Compliance Manager on regional DSM Compliance matters.
• Oversees and supports applicable regulatory filings, licensing obligations, licensed representative requirements and other ongoing compliance obligations in Hong Kong, and relevant regulatory filings in China.
• Leads and supports regulatory inspections, thematic reviews, enquiries and information requests, and advises relevant stakeholders on regulatory engagement and follow-up actions.
• Supports regulatory and compliance matters relating to the development, launch and ongoing operation of Hong Kong-domiciled products, as required.
• Performs additional responsibilities as assigned.

I am the person Capital Group is looking for

• Strong knowledge of the financial services industry and the Hong Kong asset management regulatory environment; knowledge of the broader APAC regulatory environment would be an advantage.
• Demonstrates broad knowledge and practical experience across Distribution, Sales and Marketing Compliance and Corporate Compliance matters, including distribution, sales, marketing and cross-border activities, as well as Corporate Compliance matters such as regulatory change management, regulatory and licensing obligations, policy governance, compliance monitoring, compliance reporting, regulatory inspections and interactions, incident escalation and governance frameworks.
• Strong analytical and judgment skills, with the ability to interpret complex regulatory requirements, assess their impact on business activities and provide practical, risk-based advice.
• Strong stakeholder management and influencing skills, with the ability to build trusted relationships, collaborate effectively across functions, independently deliver compliance activities and exercise appropriate judgment on matters requiring escalation.
• Excellent written and verbal communication skills, with the ability to communicate complex regulatory and compliance matters clearly and effectively to a range of audiences, including management and governance forums.
• Experience with regulatory and compliance matters relating to Hong Kong-domiciled investment products would be an advantage.
• Demonstrates a proactive and collaborative mindset, with a focus on continuous improvement and the ability to adapt to changing business and regulatory requirements.

Core Requirements

• University degree required; legal, compliance, regulatory or other relevant professional qualifications/certifications would be an advantage.
• 10+ years of relevant compliance experience within the financial services industry, preferably within asset management, or with a leading consulting, legal or audit firm supporting financial institutions.
• Fluent in spoken and written English; proficiency in spoken Chinese and the ability to read Chinese are required.

I Can Learn More About Capital Group.

At Capital Group, the success of the people who invest with us depends on the people in whom we invest. That’s why we offer a culture, compensation and opportunities that empower our associates to build successful and prosperous careers. Through nine decades, our goal is to improve people’s lives through successful investing. We know that our history is a testament to the strength of the people we hire. More than 9,000 associates in 30+ offices around the world help our clients and each other grow and thrive every day.

In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital’s annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.

• Temporary positions in the United States are excluded from the above mentioned compensation and benefit plans.

We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.