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Compliance Specialist - Asset Management

Job Seekers Hong Kong SAR China Compliance Financial Services - Asset Management, Financial Services - Banking, Financial Services - Private Banking

Job Summary

  • Hong Kong Island
  • Contract
  • BBBH781366
  • May 04, 2021
  • Competitive
Job Description

My client is an European asset management firm with global presence. Due to an urgent need, they are looking for a Compliance Specialist to join on a 6 months contract.


  • Conduct gap analysis new regulations and develop policies and procedures
  • Provide advice to the business on the implication of new regulations
  • Monitor licensing matters and respond to regulators' enquiries
  • Perform risk-based compliance monitoring tests and perform thematic reviews
  • Act as point of contact with HK regulators (SFC, MPFA and etc.)
  • Review new products, and review and advise marketing materials.
  • Handle substantial shareholding disclosure
  • Advise business units to mitigate the firm's financial crime risk (such as AML and anti-bribery)
  • Assist Compliance Head to manage offshore China business initiatives and local compliance related projects
  • Provide compliance training to internal business functions.


  • At least 6 years' work experience with asset managers in compliance
  • Hands on solid experience in handling matters related to SFC authorized funds
  • Relevant experience in handling matters ranging from distribution/marketing compliance, regulatory advisory and investment compliance
  • Proficiency in English and Chinese
  • A critical thinker who's able to look at things from different angles
  • Ability to communicate well with key business stakeholders


Consultant Details

Consultant Details

Ivy Kwan
Ivy Kwan
  • Director | Contracting Recruitment
  • +852 3907 3916