Compliance Manager/ Senior Manager, Asset Management Compliance Manager/ Senior Manager, Asset  …

Ruike Consultancy Asia Limited
in Hong Kong
Permanent, Full time
Last application, 15 Nov 21
Ruike Consultancy Asia Limited
in Hong Kong
Permanent, Full time
Last application, 15 Nov 21
We are looking for a compliance manager for our clients, top tier asset management company in Hong Kong. Besides, we have some confidential executive search in legal and compliance field among securities houses. Kindly send us your request or interests to know more details, and we shall get back to you soon.


  • Perform day-to-day compliance works in relation to the establishment, structuring, maintenance, due diligence and management of different types of funds, including SFC-authorised funds, UCITS ETFs and Cayman private funds
  • Liaise with regulatory authorities (mainly the SFC) and external counsels on inquiries and on-going reporting matters, esp. investment product-related matters
  • Set up compliance controls including general and investment compliance controls, familiar withnBloomberg AIM CMGR
  • Carry out relevant compliance activities in ensuring compliance with regulatory requirements, esp. those in Fund Manager Code of Conduct, UT Code and SFO
  • Perform KYC/ CDD/ AML review and monitoring
  • Monitor regulatory changes and developments in relation to businesses and products in respect of the relevant jurisdictions (including HK, mainland China and EU), assess the impact and advise the head of Legal and Compliance
  • Provide compliance advice to business units in relation to Type 1, 4 and 9 licence activities
  • Review simple business agreements, commercial contracts and other legal documentations
  • Provide support on ad hoc projects as requested.

Job Requirements

  • Degree in Law, Finance or Accounting or related disciplines
  • Minimum 3 - 5 years of compliance experience in financial institutions and/or regulatory bodies with at least 1-2 years specialised in asset management business; experience in SEC investment advisor licence or legal matters is a plus    
  • Strong knowledge of SFC regulations, AML legislation and other relevant regulatory requirements
  •  Hands-on experience in dealing with regulatory bodies and compliance issues and experience in developing compliance framework and policies
  • High ethics and integrity in compliance with legal requirements & company policies
  • Excellent written and spoken English and Chinese 
  • Good business acumen with strong-learning and problem-solving skill and good interpersonal and communication skills

If you are interested in this position or want to explore more positions related to legal and compliance roles. Please feel free to share your updated profile to or contact our consultants at +852 31690025. All information will be kept confidentially.

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