Compliance Officer to Compliance Manager - Global Investment Firm in Hong Kong (HK$30K to HK$70K per month) Compliance Officer to Compliance Manager - Global  …

LMA Recruitment

in Hong Kong
Permanent, Full time
Last application, 18 Oct 21
HK$30K to HK$70K per month
LMA Recruitment

in Hong Kong
Permanent, Full time
Last application, 18 Oct 21
HK$30K to HK$70K per month
LMA Recruitment
Our client, a global asset management firm in Hong Kong is looking for a Compliance Officer/ Compliance Manager to handle both regulatory compliance and investment compliance for the team in Hong Kong.


  • Assist the Head of Compliance and rest of the team in a broad area of responsibilities in Compliance for the Firm’s products domiciled in HK, Luxembourg, Cayman, USA, Ireland and South Korea.
  • Assist in developing and implementing compliance policies / procedures
  • Assist in internal, external and regulatory audits and reporting, including the compliance due diligence questionnaire by counter parties
  • Handle enquires from different business and functional units on compliance matters (eg. SFC FATCA/ CRS)
  • Perform regulatory research and issue Compliance Alerts on new or amended regulations / company policies & procedures
  • Conduct compliance review and/or testing for compliance monitoring purpose of policies and procedures
  • Prepare and submit required reports to SFC (e.g annual reports of SICAV, ETF, BRMQ, survey), MAS and US SEC
  • Handle and monitor staff dealing requests and conduct periodic reporting
  • Handling RFP requests from Marketing & product team and sales
  • Handle AML/KYC refresher from our counterparties
  • Handle licensing related matters of individual and review marketing materials and back up on the investment compliance


Requirements of the role:

  • University graduate
  • At minimum of 4 to 8 years compliance experience from asset management environment
  • Knowledge of SFC regulations and rules
  • Self-starter with strong multitasking, organizational and communications skills (written and oral)


Interested candidates please share your updated resume with

Company Reg. No.: 201131609D: Licence No.: 11C4684 :  EA Reg No: R2196467

Company Overview

Big enough to find the best.

Small enough to really know them.

It’s easy to get pompous about what we do. To name drop our global clients or wax lyrical about ‘pioneering psychometric testing’. But if you’re not careful, you lose sight of what’s really important; relationships and people.

Without relationships, you don’t truly understand the client, their business culture and who they really need. You miss the nuances of each candidate, the human behind the CV and what makes them tick. And the ‘right fit’ slowly starts to blister.

Since 1999, LMA has supplied great candidates to blue-chip businesses in London and Singapore. We draw on in-depth market intelligence and use industry-leading tools to search, screen and select. We have specialist consultants and a global network. And we’re professional beyond measure. 

But we never lose sight of what matters; how important the right people are to businesses, and the right careers are to people.

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