SFC Compliance Lead, Type 4 & 9 (Asset Mgmt)

GratiCore; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

GratiCore in Hong Kong seeks a Legal & Compliance Manager to lead regulatory compliance for SFC Type 4 and Type 9 activities. You will advise management, enhance the compliance framework, and support fund and investor-related matters.

Key duties include overseeing compliance programs, AML/KYC processes, regulatory reporting, and staff training. Strong communication with senior leaders and external regulators is essential.

Qualifications

• 3+ years of compliance, legal, or regulatory experience in asset management or related firms.
• Strong knowledge of HK regulatory requirements, SFC codes, AML/CFT
• Experience with fund onboarding, AML/KYC, regulatory reporting
• Excellent communication and stakeholder management skills

Responsibilities

• Oversee and manage all compliance matters related to SFC Type 4 and Type 9 activities.
• Provide day-to-day compliance advice to management and business units on regulatory requirements and risks.
• Maintain, review, and enhance compliance policies, procedures, and monitoring programs.
• Monitor regulatory developments and assess impact on the business; implement changes.
• Conduct compliance monitoring reviews, risk assessments, and thematic reviews across the business.
• Assist with regulatory filings and communications with SFC and other regulators.
• Provide compliance training and promote regulatory awareness across the organization.
• Investigate incidents, identify control weaknesses, and recommend remedial actions.

Skills

Regulatory knowledge

Stakeholder management

Compliance advisory

Attention to detail

English & Cantonese

Education

Bachelor's degree in Law/Finance/Accounting

Job description

GratiCore in Hong Kong seeks a Legal & Compliance Manager to lead regulatory compliance for SFC Type 4 and Type 9 activities. You will advise management, enhance the compliance framework, and support fund and investor-related matters.

Key duties include overseeing compliance programs, AML/KYC processes, regulatory reporting, and staff training. Strong communication with senior leaders and external regulators is essential.