Description

Compliance Manager / Director - Global Asset Management Firm

We are working with a leading global asset management platform to appoint a Compliance Senior Manager / Director to support its funds business in Asia. This role sits within a well-established regional compliance team and will focus on regulatory advisory and oversight for SFC-authorised products, including mutual funds and ETFs.

Key Responsibilities:

• Provide compliance advisory support to the funds business, with a primary focus on SFC-authorised funds (including public funds and ETFs)
• Ensure ongoing compliance with applicable Hong Kong regulatory requirements, including the SFC Code on Unit Trusts and Mutual Funds
• Oversee product lifecycle compliance matters, including fund launches, regulatory filings, and ongoing disclosures
• Review offering documents, marketing materials, and client communications to ensure regulatory alignment
• Stay abreast of regulatory developments and assess implications for the platform, providing practical guidance to stakeholders
• Support regulatory interactions, including SFC inquiries, inspections, and filings
• Partner with regional and global teams on cross-border fund distribution and regulatory matters
• Contribute to the enhancement of compliance frameworks, policies, and internal controls

Requirements:

• 7-20 years of compliance experience within asset management, with a strong focus on ETF
• In-depth knowledge of Hong Kong regulatory requirements relating to public funds, with hands-on experience supporting mutual funds and/or ETFs
• Strong familiarity with fund structures, product governance, and regulatory expectations across the asset management lifecycle
• Strong stakeholder management skills, with the ability to engage effectively with investment, product, and distribution teams
• Detail-oriented, with sound judgement and the ability to operate in a fast-paced, international environment