Senior Compliance Manager (Asset Management)

  • HK60,000 + Performance Bonus
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • GF Holdings (Hong Kong) Corporation Limited
  • 19 Mar 18 2018-03-19

Compliance Department of GF Holdings (Hong Kong) is a centralized control function to ensure the businesses of the firm are in compliance with the relevant regulations and group policies. Compliance Department provides operational and advisory support to both the holding company and it's subsidiary companies. Senior Compliance Manager (Asset Management) is responsible for the development, implementation, monitoring and testing of the regulatory and compliance program of the Asset Management and Buy-side" businesses and to ensure that the rules, policies and regulations are properly followed.


  • Review and enhance the existing policies and procedures to ensure a robust, current and high quality compliance control program for supporting the business growth
  • Develop, implement, and monitor compliance program for new business
  • Perform monitoring over business processes and controls, and surveillance on the staff’s personal dealing and company’s trading activities to identify any potential insider trading and breach of Chinese-Wall policies.
  • Provide AML/KYC advisory and operational support
  • Identify compliance gaps and recommend necessary changes to procedures to ensure adherence to regulatory and firm requirements
  • Review, draft and implement compliance policies and procedures
  • Develop and provide compliance training
  • Handle regulatory reporting, inquiries, investigation, inspections, corporate licensing related matters and ad-hoc projects


  • Minimum three years compliance experience, or experience in corporate functions covering Assets Management business, e.g. Internal Audit or Risk covering Compliance and securities business
  • Strong communication skills and abilities in analytical thinking, problem solving, research, and time management
  • Fluent English and Mandarin and able to write quality Chinese
  • Experience of hedge funds or regulators a strong plus