Job Title

Compliance Officer (Asset Management)

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Stella Huo

37 Active Positions

Job Description

Our client is  one of the most well established PRC Asset Management company with exceptionally well structural and upstanding practices. Their product spectrum covers various types of fund including Hong Kong Public Funds, Hong Kong Listed ETFs, Leverage/ Inverse Products and Private Funds. They are now looking for high caliber candidate to join their team as their compliance officer.


Jobs Duties

  • Provide advice to various internal business units;
  • Review and prepare fund documentations in relation to various types of funds
  • Review and update internal control policies and procedures to ensure compliance with all applicable regulatory requirements and internal policies of the Company
  • Working with firms regulators (primarily the SFC) to ensure all inquiries are settled in a timely manner and compliance questionnaires are submitted and filed as required
  • Any other ad hoc duties as required


Jobs Responsibility

  • University graduated
  • Around 3 years in an asset management company
  • Strong knowledge of regulatory requirements for an SFC registered fund manager
  • Self-starter with strong multitasking, communications and organizational skills
  • Aptitude for accuracy, detail-oriented and hands-on approach


For further information, please contact Natasha Wai  at 2523 9955.


Tags: asset management, Compliance, financial, fund, hedge fund, mutual fund, regulations, regulatory, SFC

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