Compliance Officer - Asset Management

Michael Page; Hong Kong; On-site; HKD 700,000 - 1,000,000; Full time

Benefits offered by this job

Exposure to senior management

Career growth in regulated firm

Collaborative working environment

Job summary

Michael Page in Hong Kong is recruiting a Compliance Officer for a SFC licensed firm (Type 1,4,9) focused on investment management. You will develop and implement policies, monitor risks, support AML/KYC, manage licensing and regulatory filings, and review client materials.

The successful candidate has a degree in Finance, Accounting or Law, at least 5 years of SFC-compliant experience, strong AML and risk-control knowledge, and fluency in English and Chinese (Mandarin preferred).

Qualifications

• Degree in Finance, Accounting, Law or related discipline.
• Minimum 5 years of compliance experience within SFC type 1,4,9 licensed company or asset/investment management.
• Strong understanding of AML, regulatory compliance, and risk control frameworks.
• Fluent in English and Chinese with excellent analytical and communication skills; Mandarin preferred.

Responsibilities

• Developing and implementing compliance policies and procedures in alignment with regulatory requirements.
• Monitoring and assessing compliance risks across the organisation.
• Support AML/KYC reviews and ongoing client due diligence processes.
• Manage licensing matters, regulatory filings, and interactions with relevant authorities.
• Review marketing and client-facing materials from a compliance perspective.
• Assist with audits, investigations, governance matters, and compliance training initiatives.

Skills

SFC licensing compliance

AML/KYC

Regulatory compliance

English & Chinese fluency

Education

Degree in Finance/Accounting/Law

Job description

• Broad exposure across SFC 1,4,9 licensed realted compliance
• Native Mandarin speaker is preferred

About Our Client

Our client is a SFC type 1,4,9 regulated financial services firm with an established presence in the investment management sector

Job Description

As a Compliance Officer, your main responsibilities will include:

• Developing and implementing compliance policies and procedures in alignment with regulatory requirements.
• Monitoring and assessing compliance risks across the organisation.
• SupportAML/KYC reviews and ongoing client due diligence processes.
• Manage licensing matters, regulatory filings, and interactions with relevant authorities.
• Review marketing and client-facing materials from a compliance perspective.
• Assist with audits, investigations, governance matters, and compliance training initiatives.

The Successful Applicant

A successful Compliance Officer should have:

• Degree in Finance, Accounting, Law, or a related discipline.
• Minimum 5 years of compliance experience within SFC type 1,4,9 licensed company or asset/investment management.
• Strong understanding of AML, regulatory compliance, and risk control frameworks.
• Fluent in English and Chinese with excellent analytical and communication skills, native in Mandarin is preferred

What's on Offer

• Diverse and hands-on compliance coverage across multiple functions.
• Exposure to senior management and key business stakeholders.
• Supportive and collaborative working environment.
• Opportunity for long-term career growth within a regulated organisation.