Manager graded - Legal and Compliance

Fubon Fund Management (Hong Kong) Limited; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

Fubon Fund Management (Hong Kong) Limited is seeking an experienced Legal and Compliance Manager to join our North Point team. The role focuses on day-to-day legal and compliance advisory for our funds management business within a regulated environment.

The position requires at least 3 years of asset management compliance experience, strong knowledge of SFC requirements, and a professional background in law or finance. The incumbent will act as CO/MLRO and liaise with regulators regularly.

Qualifications

• Minimum 3 years of compliance experience in Type 9 (Asset Management) activities.
• Solid knowledge of HK regulatory requirements including SFC Code of Conduct and AML/CTF guidelines.
• Legal or financial professional background with a relevant degree.
• Ability to liaise effectively with regulators and internal stakeholders.

Responsibilities

• Oversee and monitor internal compliance activities to ensure regulated activities comply with laws, regulations and SFC requirements.
• Serve as Compliance Officer (CO) and Money Laundering Reporting Officer (MLRO) under SFC requirements.
• Establish, review and maintain compliance policies, procedures and internal controls.
• Assist senior management in identifying, assessing and managing compliance and operational risks; support risk framework implementation.
• Provide compliance guidance to management and business units on regulatory matters.
• Provide administrative support and assist the Managing Director in preparing corporate reports.

Skills

Regulatory liaison

Regulatory reporting

Communication skills

Attention to detail

Education

Law/Finance/Accounting degree

Job description

Fubon Fund Management (Hong Kong) Limited is seeking an experienced Legal and Compliance Manager to join our dynamic team in North Point, Eastern District. This is a full-time position that will play a crucial role in the day‑to‑day legal and compliance advisory of our funds management business.

Responsibilities

• Oversee and monitor all internal compliance activities to ensure that all regulated activities are conducted in full compliance with applicable laws, regulations, the Securities and Futures Commission (SFC) requirements, and internal policies and procedures.
• Act as the primary point of contact with the Hong Kong Securities and Futures Commission, including handling regulatory correspondence, filings, notifications, and periodic regulatory reporting.
• Serve as the Company’s Compliance Officer (CO) and Money Laundering Reporting Officer (MLRO) in accordance with SFC requirements.
• Establish, review, and maintain appropriate compliance policies, procedures, and internal controls.
• Assist senior management in identifying, assessing, and managing compliance and operational risks, and support the implementation of the Company’s overall risk management framework.
• Provide compliance advice and guidance to management and relevant business units on regulatory and compliance matters.
• Provide administrative support and assist the Managing Director in preparing corporate reports.

Requirements

• A minimum of three (3) years of relevant compliance experience in a Type 9 (Asset Management) regulated activity under the Hong Kong Securities and Futures Ordinance.
• Solid knowledge of Hong Kong regulatory requirements, including the SFC Code of Conduct, AML / CTF guidelines, and applicable compliance standards.
• Legal or financial professional background, preferably with a degree in Law, Finance, Accounting, Risk Management, or a related discipline.
• Strong interpersonal and communication skills with the ability to liaise effectively with regulators and internal stakeholders.
• High level of integrity, attention to detail, and ability to work independently.
• Must be permanently based in Hong Kong.