Compliance Manager | Asset Management
A leading investment management platform is seeking a Compliance Manager to join its Hong Kong compliance team. This is a broad, hands-on compliance role offering exposure across regulatory compliance, KYC, fund-related matters, and business advisory support.
Responsibilities
- Review and approve marketing and promotional materials
- Assist in the development, implementation, and maintenance of KYC policies and procedures
- Review client due diligence and KYC documentation
- Provide guidance on KYC and regulatory-related enquiries
- Support responses to regulatory requests and enquiries
- Advise internal stakeholders on compliance and regulatory matters
- Assist with compliance monitoring and other ad hoc compliance projects
Requirements
- Bachelor's degree from a reputable university
- 3-6 years of compliance experience gained within the asset management industry
- Strong knowledge of Hong Kong regulatory requirements, including fund management and financial promotion regulations
- Understanding of investment management operations and regulatory expectations
- Experience with regulated fund products and offshore fund structures
- Fluent in English and Chinese, including Mandarin
- Strong communication skills and attention to detail
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