Strategic Asset Management Compliance Associate

Cornerstone Global Partners (CGP Group); Hong Kong; On-site; HKD 600,000 - 900,000; Full time

Job summary

Cornerstone Global Partners (CGP Group) is assisting a client, a leading PRC investment bank, in hiring a Compliance Specialist (Associate to AD) in Hong Kong. Reporting to the head of compliance, you will oversee regulatory adherence and support business growth.

You will develop and monitor policies to align with SFC/HKMA standards, conduct compliance monitoring, provide training, and assist with licensing, KYC/AML due diligence, and regulatory notifications.

Qualifications

• Bachelor's degree or higher in Law, Finance, Business, or related field.
• 2–12 years of compliance experience in asset management or securities.
• Strong knowledge of SFC regulations and AML/CFT frameworks.
• English and Mandarin fluency; Cantonese is a plus.

Responsibilities

• Oversee and manage all compliance matters for asset management, FICC and PWM businesses.
• Develop, implement, monitor, and review compliance policies, procedures, and internal controls to ensure alignment with SFC, HKMA, and other applicable regulatory standards.
• Conduct compliance monitoring, testing, and risk assessments; identify potential issues and recommend remedial actions.
• Provide practical compliance advice and training to business units, investment teams, and senior management on regulatory obligations, conduct risks, AML/CFT, client protection, market integrity, and product governance.
• Support fund authorisation, ongoing maintenance, licensing applications, notifications, and KYC/AML due diligence processes.
• Stay abreast of evolving Hong Kong and Greater China regulatory developments (including cross-border initiatives) and advise on their impact to the business.
• Collaborate closely with internal stakeholders (e.g., legal, risk, operations, and front office) to promote a strong compliance culture.

Skills

Regulatory compliance

AML/CFT

Risk assessment

Stakeholder management

Training delivery

English Mandarin

Education

Bachelor's degree or higher

Job description

Cornerstone Global Partners (CGP Group) is assisting a client, a leading PRC investment bank, in hiring a Compliance Specialist (Associate to AD) in Hong Kong. Reporting to the head of compliance, you will oversee regulatory adherence and support business growth.

You will develop and monitor policies to align with SFC/HKMA standards, conduct compliance monitoring, provide training, and assist with licensing, KYC/AML due diligence, and regulatory notifications.