Legal and Compliance - Asset Management

Larson Maddox; Hong Kong; On-site; HKD 480,000 - 720,000; Full time

Job summary

Larson Maddox is assisting an established asset manager in Hong Kong to hire an Asset Management Compliance professional for its Legal & Compliance team. The role involves supporting authorised funds, ETFs, and virtual asset-related products with expert regulatory and product compliance guidance.

You will review fund documentation, monitor regulatory changes, and help draft policies and training to uphold high governance standards across trading and investment activities.

Qualifications

• Bachelor's degree or above in Law with a relevant legal qualification.
• Experience in asset management or fund management compliance.
• Experience with Type 9 regulated activities and mutual fund establishment or compliance.

Responsibilities

• Act as a product compliance specialist for asset management activities, especially authorised funds.
• Provide regulatory and product compliance guidance on trading, investment, and regulatory matters.
• Review fund documents, marketing materials, and offering documents for compliance.
• Conduct regular compliance monitoring and reviews.
• Draft and review internal compliance policies and procedures.
• Provide day-to-day regulatory advice to business units.
• Support mutual fund establishment and ongoing fund compliance.
• Monitor regulatory developments and assess impact on the business.
• Deliver compliance training to stakeholders.

Skills

Regulatory compliance

Asset management

Legal drafting

Stakeholder management

Bilingual English/Chinese

Education

Law degree (LLB/LLM/JD/PCLL or equivalent)

Job description

Asset Management Compliance Professional

The Opportunity

An established asset management platform is looking to hire an Asset Management Compliance professional to join its Legal & Compliance team.

This opportunity would suit a compliance professional with a legal academic background and relevant experience supporting licensed fund management activities. The successful candidate will provide regulatory and product compliance support across authorised funds, with exposure to areas such as mutual funds, ETFs and virtual asset-related products.

Key Responsibilities

• Act as a product compliance specialist supporting asset management activities, particularly authorised funds.
• Provide compliance advice on trading, investment and regulatory matters.
• Review fund documentation, offering materials and marketing materials.
• Conduct regular compliance monitoring and reviews.
• Draft and review internal compliance policies and procedures.
• Provide day-to-day regulatory and compliance advice to relevant business units.
• Support mutual fund establishment and ongoing fund compliance matters.
• Monitor regulatory developments and assess their impact on the business.
• Deliver compliance training to relevant stakeholders.
• Handle additional compliance matters as assigned by senior management.

Requirements

• Bachelor's degree or above in Law, with an LLB, LLM, PCLL, JD or another relevant legal qualification.
• Professional legal qualification would be an advantage but is not essential.
• Relevant compliance experience within the asset management or fund management industry.
• Experience supporting an organisation conducting Type 9 regulated activities.
• Practical experience in mutual fund establishment or authorised fund compliance.
• Exposure to ETFs or virtual asset-related funds would be an advantage.
• Strong understanding of investment, trading and product compliance matters.
• Strong drafting, analytical and stakeholder management skills.
• Able to work independently and manage multiple assignments.
• Proficiency in written and spoken English and Chinese, including Cantonese and Mandarin.