Compliance Manager

Gaw Capital; Hong Kong; On-site; HKD 900,000 - 1,100,000; Full time

Job summary

Gaw Capital is seeking a Compliance Manager to ensure SFC-authorized funds, listed OFCs, and public-facing products comply with UT Code, OFC Code, and related HK guidance. The role combines strong technical expertise in product regulation, valuation, dealing, disclosure, and fair treatment of investors.

You will act as the primary regulatory interface with the SFC, oversee licensing records, CPT tracking, and provide ongoing compliance monitoring for portfolio management, product development,

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 (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).

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.

Skills

SFC compliance knowledge

Regulatory advisory

Regulatory reporting

Education

Bachelor's degree in Law/Finance/Accounting

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.