Job Title

Compliance Consultant (Asset Management experience preferred)

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19 Active Positions

Job Description


Our client is currently  looking for talented compliance consultant with solid experience in dealing with on-going SFC compliance matters.

Key Responsibilities

As a part of the team, you will be helping clients on:

  • Responsible for Hong Kong regulatory work including SFC enquiries and investigations 
  • Handle licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators.
  • Develop, update and review compliance policies, procedures and guidelines from the compliance perspective and circulate to staff for compliance purpose
  • Handle internal compliance review and control, to ensure compliance policies and procedures are followed and maintained the rules and regulations 

Key Requirements

  • Bachelor or Master degree in Law or Commerce. 
  • 3 to 5 years solid experience in dealing with SFC license applications and on-going SFC  compliance matters for SFC licensed firms;
  • Ideally have worked in another compliance firm, in house compliance role in an  asset management firm, or the SFC;
  • Strong analytical and solid problem solving capabilities;
  • Proficiency in English and Mandarin and Cantonese is a must.


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