Senior Compliance Manager, SFC Type 4/9 - Asset Management

GratiCore; Hong Kong; On-site; HKD 700,000 - 1,100,000; Full time

Job summary

GratiCore in Hong Kong seeks a compliance professional to oversee and advise on SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) activities. You will implement controls, monitor regulatory changes, and train staff to promote a strong compliance culture.

The role covers advisory, monitoring, and interactions with investors and service providers, requiring strong English and Chinese language skills, and a proactive, independent work style in a fast-paced environment.

Qualifications

• Excellent communication and stakeholder management skills.
• Excellent written and spoken English and Cantonese and/or Mandarin.
• Self-motivated, detail-oriented, and able to work independently.

Responsibilities

• Oversee compliance for SFC Type 4 and Type 9 activities.
• Provide day-to-day compliance guidance to management and business units.
• Maintain, review, and enhance policies, procedures, and controls.

Skills

Communication

Stakeholder management

Attention to detail

Independence

Education

Bachelor's degree in Law/Finance/Accounting/Business Admin

Job description

GratiCore in Hong Kong seeks a compliance professional to oversee and advise on SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) activities. You will implement controls, monitor regulatory changes, and train staff to promote a strong compliance culture.

The role covers advisory, monitoring, and interactions with investors and service providers, requiring strong English and Chinese language skills, and a proactive, independent work style in a fast-paced environment.