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Senior Compliance Manager – Investment Manager

Pure Hong Kong Hong Kong
Posted 2 days ago In-Office Permanent HK$90k - HK$100k
W
Posted by
Winnie Leung
Recruiter
My client is a global investment manager seeking an experienced and highly skilled Senior Compliance Manager with expertise in funds and private equity, and knowledge of the Securities and Futures Commission (SFC) regulations. As a Senior Compliance Manager, you will be responsible for supporting the compliance function within our organization's investment division. Your role will involve ensuring adherence to regulatory requirements, developing and implementing compliance policies and procedures, and providing guidance on compliance matters. This is an opportunity to contribute your expertise in alternative investment compliance and Mandarin language proficiency to drive a strong compliance culture within our organization.

Responsibilities:

  • Develop, implement, and maintain compliance policies and procedures for the investment division, in line with applicable laws, regulations, and SFC guidelines.
  • Monitor and assess the division's compliance with regulatory requirements, including licensing, reporting, and ongoing obligations.
  • Stay updated on SFC regulations, guidelines, and industry best practices related to alternative investments, and ensure effective implementation of regulatory changes.
  • Conduct compliance risk assessments and reviews to identify potential compliance gaps or issues, and propose corrective actions as needed.
  • Provide guidance and advice to management and employees on compliance matters, including the interpretation of regulations and internal policies.
  • Assist in the development and delivery of compliance training programs to enhance awareness and understanding of compliance requirements.
  • Oversee the compliance monitoring and testing program, ensuring that adequate controls are in place to mitigate compliance risks.
  • Collaborate with internal stakeholders, such as legal, risk, and investment teams, to ensure compliance considerations are integrated into business processes and decision-making.
  •  

Qualifications:

  • Bachelor's degree in Finance, Business Administration, Law, or a related field. Relevant professional certifications (e.g., CAMS, CFA, CPA) are preferred.
  • Extensive experience (7+ years) in compliance management within the funds industry, with a strong understanding of SFC regulations and requirements.
  • Fluent Mandarin language skills, both written and verbal, to effectively communicate with Mandarin-speaking stakeholders.
  • In-depth knowledge of investment products and related compliance considerations.
  • Familiarity with SFC licensing requirements, reporting obligations, and ongoing compliance obligations.
  • Excellent analytical and problem-solving skills, with attention to detail.
  • Ability to work independently, manage multiple priorities, and meet deadlines in a dynamic environment.
  • Strong ethical standards and a commitment to upholding the highest levels of integrity and professionalism.
Job ID  WL20240116
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