Legal & Compliance Manager (SFC Type 4 & 9)

GratiCore; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

GratiCore in Hong Kong seeks a Legal & Compliance Manager to lead regulatory compliance for SFC Type 4 and Type 9 activities. You will advise management, enhance the compliance framework, and support fund and investor-related matters.

Key duties include overseeing compliance programs, AML/KYC processes, regulatory reporting, and staff training. Strong communication with senior leaders and external regulators is essential.

Qualifications

• 3+ years of compliance, legal, or regulatory experience in asset management or related firms.
• Strong knowledge of HK regulatory requirements, SFC codes, AML/CFT
• Experience with fund onboarding, AML/KYC, regulatory reporting
• Excellent communication and stakeholder management skills

Responsibilities

• Oversee and manage all compliance matters related to SFC Type 4 and Type 9 activities.
• Provide day-to-day compliance advice to management and business units on regulatory requirements and risks.
• Maintain, review, and enhance compliance policies, procedures, and monitoring programs.
• Monitor regulatory developments and assess impact on the business; implement changes.
• Conduct compliance monitoring reviews, risk assessments, and thematic reviews across the business.
• Assist with regulatory filings and communications with SFC and other regulators.
• Provide compliance training and promote regulatory awareness across the organization.
• Investigate incidents, identify control weaknesses, and recommend remedial actions.

Skills

Regulatory knowledge

Stakeholder management

Compliance advisory

Attention to detail

English & Cantonese

Education

Bachelor's degree in Law/Finance/Accounting

Job description

Legal & Compliance Manager (SFC Type 4 & 9)

As a key member of the compliance team, you will play a pivotal role in ensuring the firm's compliance with regulatory requirements relating to its SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) activities. Working closely with senior management and business stakeholders, you will provide practical compliance advice, enhance the firm's compliance framework, and support a broad range of regulatory, operational, fund-related, and investor-facing matters.

Key Responsibilities

• Oversee and manage all compliance matters relating to the Company's SFC Type 4 and Type 9 regulated activities.
• Provide day-to-day compliance advice and guidance to management and business units on applicable regulatory requirements and compliance risks.
• Maintain, review, and enhance compliance policies, procedures, controls, and monitoring programs to ensure compliance with SFC regulations and industry best practices.
• Monitor regulatory developments and assess their impact on the business, ensuring timely implementation of regulatory changes.
• Conduct compliance monitoring reviews, risk assessments, and thematic reviews across the business.
• Handle compliance-related inquiries from fund administrators, investors, custodians, auditors, and other external service providers.
• Support fund onboarding, investor onboarding, AML/KYC reviews, and ongoing client due diligence processes.
• Assist in regulatory filings, notifications, and communications with the Securities and Futures Commission (SFC) and other relevant regulators.
• Provide compliance training and promote regulatory awareness across the organization.
• Investigate compliance incidents, identify control weaknesses, and recommend remedial actions.
• Assist senior management in fostering a strong compliance culture throughout the organization.

Requirements

• Over 3 years of compliance, legal & compliance, or regulatory experience gained within an asset management firm, hedge fund, private equity firm, family office, securities firm, or other regulated financial institution.
• Strong knowledge of Hong Kong regulatory requirements, including SFC Codes, AML/CFT regulations, Fund Manager Code of Conduct (FMCC), and requirements applicable to Type 4 and Type 9 licensed corporations.
• Experience working closely with senior management, business stakeholders, investors, fund administrators, custodians, auditors, and other external service providers.
• Solid understanding of Hong Kong's regulatory and business environment, with the ability to provide practical, commercially focused compliance guidance.
• Exposure to fund compliance, investor onboarding, AML/KYC, regulatory reporting, compliance monitoring, and policy development.
• Familiarity with common law principles and regulatory frameworks relevant to Hong Kong financial services. Candidates with legal training should demonstrate strong exposure to Hong Kong or other common law jurisdictions.
• Bachelor's degree in Law, Finance, Accounting, Business Administration, or a related discipline.
• Excellent interpersonal, communication, and stakeholder management skills with the ability to engage confidently with senior executives and business leaders.
• Near-native written and spoken English and Cantonese are essential.
• Prior experience working in Hong Kong or an international financial services environment is highly preferred.
• Self-motivated, detail-oriented, commercially minded, and comfortable operating in a dynamic, entrepreneurial environment.

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