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Senior Manager/VP, Compliance

Hong Kong, Hong Kong | Spring

  • Industry:
  • Position Type:
  • Functions:
    General Management
    Legal / Compliance
  • Experience:
    5-7 years
    7-10 years
Job Description:
51 people have viewed this job

Our client has a strong presence in asset management market with international footprint. Their trading volume has grown rapidly, and eager to expand further. With the changing needs of the markets and commitment towards sustainable development & growth in the regions, they are currently looking for an experienced investment compliance talent to join the organization. The role is based in Hong Kong.

Main Duties and Responsibilities

You will be responsible for trade monitoring in the firm. You will also handle ad hoc projects as assigned by top management. Communicate with internal and external stakeholders and senior management.


Review investment guidelines, setup and test guidelines parameters, perform compliance checks

Respond to requests regarding investment and operational restrictions applicable at the portfolio and/or company level

Liaise with Sales, Product, Operation and Investment team to perform compliance reporting

Perform investment compliance monitoring activities including reviewing compliance exceptions (Pre and Post Trade)

Monitor and analyze regulatory trends that would potentially impact the investment management functions

Participate in ad hoc projects as assigned

Candidate profile

5-10 years of work experience in financial institutes (asset management firm). Solid investment compliance experience. Capable to work independently. As one of the main Compliance representatives of the company, you must possess excellent presentation and communication skills and be fluent in Chinese and English. Possess a strategic mindset, excellent risk awareness, global vision and being ethical. Able to read, write and speak in Chinese (Cantonese and Mandarin) and English.

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