Senior Compliance Manager – Public Fund (Asset Management)

WallStone Partners & Company Limited; Hong Kong; On-site; HKD 1,016,000 - 1,216,000; Full time

Job summary

WallStone Partners & Company Limited, a reputable asset management firm in Hong Kong, seeks a Senior Compliance Manager to lead public fund compliance. You will be the primary SFC contact for SFC-authorized/public funds and ensure adherence to UT Code and SFO requirements.

Responsibilities include regulatory liaison, post-authorization filings, Bloomberg AIM administration, and daily NAV/website compliance.

Qualifications

• Minimum 10 years of compliance experience in asset management.
• Experience dealing with SFC-authorized/public funds required.
• Proficient in bilingual communication (English & Chinese).

Responsibilities

• Regulatory liaison with SFC for ongoing compliance and submissions.
• Ensure UT Code and SFO compliance for public funds.
• Coordinate post-authorization filings and updates (annual reports, offering documents).
• Maintain Hong Kong presence to handle regulatory inquiries and investor matters.
• Administer Bloomberg AIM; manage authorization levels and trading restrictions.
• Oversee bilingual website updates and NAV publication for compliance.

Skills

Regulatory compliance

SFC liaison

Bilingual writing (EN/ZH)

Communication

Tools

Bloomberg AIM

Job description

Senior Compliance Manager – Public Fund (Asset Management)

Senior Compliance Manager – Public Fund (Asset Management)

Package: Around HKD 100,000 / month (Negotiable based on experience)

Location: Hong Kong

Industry: Asset Management / Public Funds

Our client, a reputable Asset Management firm in Hong Kong, is currently seeking a highly experienced Senior Compliance Manager to lead their public fund compliance functions. The ideal candidate will act as the primary contact person with the Securities and Futures Commission (SFC) for SFC-authorized/public funds, ensuring strict adherence to the UT Code and relevant SFO regulatory standards.

Key Responsibilities

• Regulatory Liaison: Serve as the main point of contact between the fund management company and the SFC for ongoing compliance, regulatory inquiries, and official submissions.
• Regulatory Compliance: Ensure full and continuous compliance of public funds with the Code on Unit Trusts and Mutual Funds (UT Code) and statutory requirements under the Securities and Futures Ordinance (SFO).
• Filings & Notifications: Coordinate and manage timely post-authorization submissions, including post-authorization changes, offering/offering document updates, annual reports, and notification of material breaches.
• Local Presence & Emergency Response: Maintain operational presence or availability in Hong Kong to handle urgent regulatory inquiries and public investor matters regarding authorized schemes.
• Bloomberg AIM Administration: Act as the administrator for Bloomberg AIM; set up and monitor authorization levels, fund compliance rules, security trading restrictions, and authorized brokers.
• Website & NAV Compliance Maintenance: Oversee and update the bilingual website for publishing fund information and daily NAV, ensuring ongoing updates and monitoring meet SFC compliance standards.
• Experience: Minimum 10 years of compliance experience in the Asset Management industry, with extensive hands-on experience handling SFC-authorized / Public Funds.
• System Experience: Practical hands‑on experience in Bloomberg AIM system administration is required.
• Risk Management: Prior experience in Risk Management is a strong advantage.
• Language Proficiency: Fluent in Cantonese, Mandarin, and English with strong bilingual writing skills (English & Chinese).
• Key Competencies: Excellent communication skills, meticulous attention to detail, and the ability to work independently.
• Availability: Immediate availability or short notice period is highly preferred.