- Hong Kong Hong Kong
全职 Compliance Manager (Investment Firm) 工作, 薪水, GratiCore Hong Kong 公司招聘中 - Ricebowl
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As a key member of the compliance team, you will play a pivotal role in ensuring the firm's compliance with regulatory requirements relating to its SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) activities. Working closely with senior management and business stakeholders, you will provide practical compliance advice, enhance the firm's compliance framework, and support a broad range of regulatory, operational, fund-related, and investor-facing matters.
Key Responsibilities
- Oversee and manage all compliance matters relating to the Company's SFC Type 4 and Type 9 regulated activities.
- Provide day-to-day compliance advice and guidance to management and business units on applicable regulatory requirements and compliance risks.
- Maintain, review, and enhance compliance policies, procedures, controls, and monitoring programs to ensure compliance with SFC regulations and industry best practices.
- Monitor regulatory developments and assess their impact on the business, ensuring timely implementation of regulatory changes.
- Conduct compliance monitoring reviews, risk assessments, and thematic reviews across the business.
- Handle compliance-related enquiries from fund administrators, investors, custodians, auditors, and other external service providers.
- Support fund onboarding, investor onboarding, AML/KYC reviews, and ongoing client due diligence processes.
- Assist in regulatory filings, notifications, and communications with the Securities and Futures Commission (SFC) and other relevant regulators.
- Provide compliance training and promote regulatory awareness across the organization.
- Investigate compliance incidents, identify control weaknesses, and recommend remedial actions.
- Assist senior management in fostering a strong compliance culture throughout the organization.
Requirements
- Over 3 years of compliance, legal & compliance, or regulatory experience gained within an asset management firm, hedge fund, private equity firm, family office, securities firm, or other regulated financial institution.
- Strong knowledge of Hong Kong regulatory requirements, including SFC Codes, AML/CFT regulations, Fund Manager Code of Conduct (FMCC), and requirements applicable to Type 4 and Type 9 licensed corporations.
- Experience working closely with senior management, business stakeholders, investors, fund administrators, custodians, auditors, and other external service providers.
- Solid understanding of Hong Kong's regulatory and business environment, with the ability to provide practical, commercially focused compliance guidance.
- Exposure to fund compliance, investor onboarding, AML/KYC, regulatory reporting, compliance monitoring, and policy development.
- Familiarity with common law principles and regulatory frameworks relevant to Hong Kong financial services. Candidates with legal training should demonstrate strong exposure to Hong Kong or other common law jurisdictions.
- Bachelor's degree in Law, Finance, Accounting, Business Administration, or a related discipline.
- Excellent interpersonal, communication, and stakeholder management skills with the ability to engage confidently with senior executives and business leaders.
- Near-native written and spoken English and Cantonese are essential.
- Prior experience working in Hong Kong or an international financial services environment is highly preferred.
- Self-motivated, detail-oriented, commercially minded, and comfortable operating in a dynamic, entrepreneurial environment.
If you are interested in exploring more of this role or other potential opportunities, let's connect today via WhatsApp or WeChat: +*************.
Candidates not selected for this position may be considered for other opportunities that better align with their experience.
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