Description

About Our Client
Our client is a rapidly growing Asian asset management firm with approximately US$2 billion AUM , backed by a well-established investment platform in Asia. The firm provides active investment management solutions to institutional, corporate and private clients and is expanding its Hong Kong platform.
The Opportunity
We are seeking an experienced Compliance Director to oversee the firm's Hong Kong compliance function. The role will cover investment compliance, AML/KYC, marketing compliance, legal and fund documentation, SFC regulatory reporting and licensing .

The successful candidate will work closely with investment, operations and senior management teams, providing practical and commercially focused regulatory advice.

Key Responsibilities

1. Oversee compliance across the investment management lifecycle, including pre- and post-trade activities.
2. Monitor investment restrictions, mandates, SFC requirements, internal policies and fund requirements.
3. Oversee KYC, AML/CTF, investor due diligence and suitability requirements.
4. Review marketing materials, presentations and external communications for regulatory compliance.
5. Review and advise on fund documentation, contracts and agreements with service providers and business partners.
6. Support SFC regulatory filings, inspections, enquiries, licensing and regulatory reporting .
7. Monitor regulatory developments and advise management on their impact on the business.
8. Maintain and enhance compliance policies, procedures, controls and monitoring frameworks.
9. Oversee staff dealing and personal account dealing requirements and compliance training.
10. Identify and advise senior management on material legal, regulatory and compliance risks.

Requirements

1. 8+ years of relevant compliance and/or legal experience , preferably within an SFC-licensed Type 9 asset manager.
2. Strong knowledge of SFC regulations and Hong Kong asset management compliance requirements .
3. Experience across investment compliance, AML/KYC, marketing compliance, fund documentation and regulatory reporting.
4. Experience handling SFC filings, inspections, enquiries and licensing matters.
5. Candidates with both legal and compliance experience within asset management are preferred.
6. LLB, LLM or relevant legal qualification is advantageous.
7. Excellent Mandarin, Cantonese and English communication skills.
8. Strong analytical, interpersonal and stakeholder management skills.
9. Practical, commercially minded and able to work independently in a fast-growing environment.

What the Role Offers

1. Senior compliance leadership opportunity within a fast-growing Asian asset manager .
2. Exposure to investment, regulatory, legal and business matters.
3. Direct interaction with investment professionals and senior management.
4. Opportunity to help shape and strengthen the firm's Hong Kong compliance framework.
5. Competitive compensation and strong long-term career development opportunities.