AVP/VP Asset Management Compliance

  • Attractive
  • Hong Kong
  • Permanent, Full time
  • ALS International
  • 18 Apr 19

Our client is a leading global investment management firm which provides innovative capital solutions to their clients including syndicated leveraged loans and high yield bonds to privately negotiated senior secured debt and mezzanine investments, asset-based leasing and private equity.

Due to the growth of the business, there is now a headcount to hire an experienced Compliance Executive to join the fast expanding firm:

In this role, you will have to provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulations

  • Develop and update policies and procedures that reflect changes in business, regulation, and developing views on issues
  • Advise on the registration and ongoing responsibilities related to registration with the HK SFC
  • Conduct routine, targeted, and ad hoc testing / surveillance;
  • Monitor adherence to the Firm’s Code of Ethics (personal trading, gifts and entertainment, political contributions, etc.).
  • Prepare and respond to inquiries and audits from regulatory authorities
  • You will be required to provide compliance advisory on public credit as it relates to Asia long/short credit investments across the capital structure; and also compliance advisory on private credit as it relates to direct lending and private equity type strategies;
  • Interface directly with the regulator; and the ability to interface directly with Investment Professionals in a fast paced environment;
  • Work with global compliance team as well as other Firm infrastructure teams


To qualify for this role, you must have the following requirements:

  • Bachelor's degree in legal, finance, or related discipline
  • At least 7-10 years of relevant compliance experience from an asset management or investment management firm
  • Good knowledge of regulatory requirements
  • Strong communication and presentation skills in English
  • Attentive to details, ability to multi-task and work independently, and function effectively within a trading floor environment.


If you are interested in this role, please send your cv to d.lim@alsrecruit.com. For further information or a confidential discussion, please contact Denise Lim at +852 2920 9133.