Senior Compliance Manager – Asset Management

Aquis Search Limited; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

Aquis Search Limited is seeking a Senior Compliance Manager to join its Hong Kong subsidiary and support the Compliance function across day-to-day regulatory and business matters within asset management.

This hands-on role requires solid asset management compliance experience, strong KYC/AML knowledge, and the ability to review marketing materials for regulatory compliance while working closely with the business and internal stakeholders in both English and Chinese.

Qualifications

• Solid compliance experience in asset management or fund management.
• Knowledge of HK regulatory requirements including SFC guidelines.
• Strong KYC/AML knowledge with review of marketing materials.
• Excellent communication and stakeholder management; English/Chinese (Mandarin).

Responsibilities

• Provide day-to-day compliance support across the Hong Kong business.
• Review and approve marketing materials to ensure regulatory compliance.
• Assist in establishing, maintaining and updating KYC policies and procedures.
• Review KYC documentation and respond to inquiries from internal stakeholders.
• Assist with regulatory inquiries and supporting regulatory interactions.
• Monitor regulatory developments and implement compliance requirements.
• Support the Compliance team on various regulatory and operational matters.
• Handle other ad hoc compliance projects and assignments.

Skills

Asset management

KYC/AML

Regulatory compliance

Stakeholder management

Bilingual English/Chinese

Education

Bachelor’s degree

Job description

Senior Compliance Manager – Asset Management

Our client, an established asset management firm is seeking a Senior Compliance Manager to join the Hong Kong subsidiary and support the Compliance function across a broad range of day-to-day regulatory and business matters. This is a hands-on general compliance role suited to someone with solid asset management compliance experience who enjoys working closely with the business and taking ownership of a broad range of compliance matters.

Key Responsibilities

Provide day-to-day compliance support across the Hong Kong business and advise on regulatory matters

Review and approve marketing materials and communications to ensure compliance with applicable regulatory requirements

Assist in establishing, maintaining and updating KYC policies and procedures

Review KYC documentation and respond to KYC-related enquiries from internal stakeholders and business teams

Assist with responding to regulatory enquiries and supporting regulatory interactions where required

Monitor relevant regulatory developments and assist with implementing compliance requirements

Support the Compliance team on various regulatory and operational matters

Handle other ad hoc compliance projects and assignments as required

Key Requirements

Bachelor’s degree or above from a reputable university

Solid compliance experience gained within an asset management or fund management environment

Experience with a well-established asset manager would be highly advantageous

Good knowledge of relevant Hong Kong regulatory requirements, including the Fund Manager Code of Conduct, Advertising Guidelines and other applicable SFC requirements

Strong understanding of the asset management business and investment products

Familiarity with SFC-authorised funds, UCITS and Cayman SPC structures

Strong KYC/AML knowledge and experience reviewing marketing and client-facing materials

Strong communication and stakeholder management skills

Excellent command of English and Chinese, including Mandarin

Unlock job insights

Hirer responsiveness Salary match Number of applicants

Aquis Search is a regional leader for corporate governance and control functions executive search and recruitment services. Our geographical coverage extends beyond

our office locations and we handle search assignments in numerous Asian countries.

Our clients are members of a global network of prestigious financial institutions, leading UK & US law firms and many of the largest companies within the Fortune 500. Professional integrity is the key value on which our client

relationships are built, and the majority of our business is the result of personal referral. This is testament to the high level of professionalism for which we are known.

Aquis Search is a regional leader for corporate governance and control functions executive search and recruitment services. Our geographical coverage extends beyond

our office locations and we handle search assignments in numerous Asian countries.

Our clients are members of a global network of prestigious financial institutions, leading UK & US law firms and many of the largest companies within the Fortune 500. Professional integrity is the key value on which our client

relationships are built, and the majority of our business is the result of personal referral. This is testament to the high level of professionalism for which we are known.

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