Compliance Manager

Gaw Capital; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

Gaw Capital seeks a Compliance Manager to ensure SFC-authorized funds, listed OFCs, and public-facing products meet UT Code, OFC Code, and HK guidance. You will bring deep expertise in product regulation, valuation, dealing, disclosure, and fair treatment of investors, acting as the technical interface with the SFC on fund matters.

You will monitor compliance across product development, disclosures, distributions, and ongoing obligations, and lead training and regulatory updates.

Qualifications

• Bachelor's degree or above in Law, Finance, Accounting, or related field.
• Minimum 5 years of hands-on compliance experience in public funds (SFC-authorized unit trusts/OFCs/ETF).
• Direct experience with listed OFCs/SFC-authorized funds; real estate experience preferred.
• Strong knowledge of SFO, FMCC, UT Code, OFC Code, Code of Conduct, AML/CFT Guideline and HKEX rules.

Responsibilities

• Prepare notifications, filings, responses, and periodic returns per HK regulatory requirements.
• Provide ongoing compliance monitoring and advise on portfolio management, product, distribution, and operations teams.
• Provide guidance on regulatory obligations including disclosure, governance, transactions, and distribution policies.
• Review marketing and investor communications for public fund compliance.
• Maintain and update SFC licensing records (ROs/LRs) and CPT tracking.
• Provide regulatory updates and trainings to promote compliance culture.
• Serve as a point of contact with the SFC and regulators.

Skills

Regulatory compliance

Public funds

SFC knowledge

Stakeholder liaison

Education

Law/Finance degree

Job description

The Compliance Manager will be responsible for ensuring our firm’s SFC‑authorized funds, listed OFCs, and public‑facing products comply with the Code on Unit Trusts and Mutual Funds (UT Code), the OFC Code, and related SFC guidance.

This role provides strong technical expertise in product regulation, valuation, dealing, disclosure, and fair treatment of investors, and acts as the key technical interface with the SFC on public fund and product‑specific matters.

Responsibilities:

• Prepare notifications, filings, responses, and periodic returns as per HK regulatory requirements (e.g., SFO, SFC Codes & Guidelines, FMCC, UT Code, OFC Code, Code of Conduct, AML/CFT Guideline)
• Provide ongoing compliance monitoring and advise on portfolio management, product, distribution, and operations teams on compliance implications for public funds (e.g., product development, offering documents, disclosures, ongoing obligations)
• Provide guidance on regulatory obligations including disclosure, governance, transactions, and distribution policies
• Review marketing and investor communication materials against public fund standards and compliant with relevant regulatory requirements
• Maintain and update SFC licensing records (ROs/LRs), ensure ongoing competence and CPT tracking, and manage licensing variations
• Provide regulatory updates and/or trainings to promote the compliance culture and awareness
• Serve as a point of contact with the SFC and relevant regulators

Requirements:

• Bachelor's degree or above in Law, Finance, Accounting, or related field
• Minimum 5 years of hands‑on compliance experience in public funds (SFC-authorized unit trusts/OFCs/ETF), preferably within asset management or trustee/custodian environments
• Direct experience with listed OFCs/SFC-authorized funds (regulatory advisory, governance, disclosures, transactions, distributions); real estate experience preferred
• Strong knowledge of the SFO, FMCC, UT Code, OFC Code, Code of Conduct, AML/CFT Guideline, and related HKEX listing rules (if applicable)

We thank all applicants for their interests, but only selected candidates will be contacted. All personal data collected will be kept in strict confidence and only for employment-related purposes.