Senior Compliance & MLRO – Asset Management (HK)

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 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.