Senior Compliance Manager - Global Asset MAnager

CFA Institute; Hong Kong; On-site; HKD 600,000 - 800,000; Full time

Job summary

CFA Institute is seeking a Compliance Manager in Hong Kong to develop, implement, and maintain compliance policies for the asset management business. The role entails monitoring regulatory compliance, conducting risk assessments, and providing guidance to management.

The ideal candidate should have over 8 years of experience in compliance management within the funds industry and be fluent in Mandarin. This position requires a strong understanding of SFC regulations and high ethical standards.

Qualifications

• 8+ years of compliance management experience within the funds industry.
• Strong understanding of SFC regulations and compliance obligations.
• Fluent in Mandarin to communicate effectively with stakeholders.

Responsibilities

• Develop and maintain compliance policies for asset management business.
• Monitor compliance with regulatory requirements.
• Conduct compliance risk assessments and reviews.

Skills

Compliance management

Analytical skills

Problem-solving skills

Fluent Mandarin

Knowledge of SFC regulations

Education

Bachelor's degree in Finance, Business Administration, Law, or related field

Job description

Responsibilities

1. Develop, implement, and maintain compliance policies and procedures for asset management business, in line with applicable laws, regulations, and SFC guidelines.
2. Monitor and assess the division's compliance with regulatory requirements, including licensing, reporting, and ongoing obligations.
3. Stay updated on SFC regulations, guidelines, and industry best practices related to alternative investments, and ensure effective implementation of regulatory changes.
4. Conduct compliance risk assessments and reviews to identify potential compliance gaps or issues, and propose corrective actions as needed.
5. Provide guidance and advice to management and employees on compliance matters, including the interpretation of regulations and internal policies.
6. Assist in the development and delivery of compliance training programs to enhance awareness and understanding of compliance requirements.
7. Collaborate with internal stakeholders, such as legal, risk, and investment teams, to ensure compliance considerations are integrated into business processes and decision-making.

Qualifications

1. Bachelor's degree in Finance, Business Administration, Law, or a related field. Relevant professional certifications (e.g., CAMS, CFA, CPA) are preferred.
2. Extensive experience (8+ years) in compliance management within the funds industry, with a strong understanding of SFC regulations and requirements.
3. Fluent Mandarin language skills, both written and verbal, to effectively communicate with Mandarin-speaking stakeholders.
4. In-depth knowledge of investment products and related compliance considerations.
5. Familiarity with SFC licensing requirements, reporting obligations, and ongoing compliance obligations.
6. Excellent analytical and problem-solving skills, with attention to detail.
7. Ability to work independently, manage multiple priorities, and meet deadlines in a dynamic environment.
8. Strong ethical standards and a commitment to upholding the highest levels of integrity and professionalism.