Compliance Manager

CGCG-US CG Companies Global-US; Hong Kong; On-site; HKD 1,000,000 - 1,800,000; Full time

Benefits offered by this job

Generous time-off

Health benefits

2-for-1 matching gifts

Professional development resources

Job summary

Capital Group in Hong Kong seeks a Compliance Manager to oversee regulatory obligations and provide practical, risk-based guidance to business stakeholders. You will lead policy governance, regulatory filings, and compliance initiatives across HK operations, partnering with Legal and Risk as needed.

In this role, you will support DSM Compliance, cross-border activities, and APAC regional tasks, ensuring robust governance and timely regulatory engagement.

Qualifications

• Strong knowledge of the financial services industry and the Hong Kong asset management regulatory environment.
• Experience providing regulatory and compliance advice to business stakeholders.
• Familiarity with distribution, sales and marketing compliance and corporate compliance principles.

Responsibilities

• Oversees ongoing compliance with Hong Kong regulatory requirements and internal policies.
• Monitors regulatory developments affecting HK and China operations and leads implementation.
• Acts as primary Compliance contact for HK business stakeholders, advising on regulatory matters and coordinating with Legal, Risk and external counsel.
• Leads development and maintenance of compliance policies, procedures and manuals.
• Supports escalation, reporting and governance communications on regulatory matters.
• Provides leadership for DSM Compliance in HK and collaborates with APAC teams on regional matters.
• Oversees regulatory filings, licensing obligations and related obligations in HK and China.
• Leads regulatory inspections and information requests and advises on follow-up actions.
• Supports compliance for HK-domiciled products and other duties as assigned.

Skills

Financial services knowledge

Regulatory environment knowledge

Hong Kong asset management

Compliance experience

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.

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 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 Compl