5 results for General Compliance Associate Asset Management jobs

Head of Compliance (Asset Management)

Hong Kong,
remote
Permanent
2000000 - 2500000 HKD / Yearly
The CompanyHead of Compliance overseeing SFC Type 4 & 9 activities, investment compliance, regulatory compliance, AML, licensing, governance, and SFC liaison The Role Key Responsibilities<ul><li>Lead and oversee all compliance activities for SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) licensed businesses, ensuring adherence to regulatory requirements and industry best practices.</li><li>Act as the primary liaison with the Securities and Futures Commission (SFC), managing regulatory inspections, licensing matters, notifications, filings, and regulatory enquiries.</li><li>Provide compliance advice to senior management and investment teams on fund management activities, new business initiatives, product launches, and regulatory developments.</li><li>Oversee investment compliance monitoring, including pre-trade and post-trade surveillance, fund mandate compliance, investment guideline reviews, and breach management.</li><li>Establish and maintain an effective compliance framework covering regulatory compliance, AML/CFT, internal controls, risk assessments, compliance testing, and governance reporting.</li><li>Lead compliance training and promote a strong compliance culture across the organization while managing compliance risks, regulatory changes, and stakeholder communications.</li></ul> Your ProfileRequirements<ul><li>Bachelor's degree in law, Finance, Accounting, Business Administration, or a related discipline; professional qualifications (e.g., CAMLP, ICA, ACAMS) are advantageous.</li><li>Minimum 10-15 years of compliance experience gained within asset management, hedge funds, private equity, family offices, or investment management firms.</li><li>Strong working knowledge of SFC regulations, including the Code of Conduct, Fund Manager Code of Conduct (FMCC), and requirements relating to Type 4 and Type 9 regulated activities.</li><li>Proven experience managing regulatory inspections, licensing matters, regulatory filings, and direct interactions with the Securities and Futures Commission (SFC).</li><li>Solid understanding of investment compliance, AML/CFT, regulatory compliance, corporate governance, and risk management frameworks within an asset management environment.</li><li>Excellent leadership, stakeholder management, and communication skills, with the ability to influence senior management and operate as a trusted compliance advisor;</li></ul> Apply Today To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.Reference Number: 67010-0013475019By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/RGVyZWsuTmdhaS44OTk2My4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-07-22T05:14:14Z

Investment Compliance Manager (Foreign Hedge Fund)

Hong Kong,
remote
Permanent
60000 - 80000 HKD / Monthly
The CompanyInvestment Compliance role overseeing SFC Type 4 & 9 compliance, regulatory filings, investment monitoring, investor due diligence, and compliance advisory. The Role<ul><li>Provide compliance advisory support to the investment, marketing, operations, and senior management teams to ensure compliance with SFC regulations, licensing requirements, and internal policies.</li><li>Monitor and oversee compliance with the Securities and Futures Ordinance (SFO), Code of Conduct, Fund Manager Code of Conduct (FMCC), and other applicable regulatory requirements for SFC Type 4 and Type 9 regulated activities.</li><li>Conduct pre- and post-trade surveillance, investment guideline monitoring, restricted list reviews, personal account dealing reviews, and conflicts of interest assessments.</li><li>Lead regulatory filings and submissions through SFC e-Services, including licensing matters, notifications, annual returns, and substantial business change applications.</li><li>Support SFC inspections, regulatory inquiries, thematic reviews, and audits by preparing documentation, coordinating responses, and implementing remediation actions.</li><li>Review fund offering documents, marketing materials, subscription documents, investment management agreements, and investor communications to ensure regulatory compliance.</li><li>Act as a key compliance contact for investors, institutional clients, fund distributors, and external service providers on compliance and regulatory-related matters.</li><li>Handle investor due diligence requests, compliance questionnaires, RFPs, AML/KYC inquiries, and regulatory disclosures.</li><li>Collaborate with legal, risk, operations, and portfolio management teams to identify compliance risks and strengthen internal controls.</li><li>Deliver compliance training and regulatory updates to employees and management.</li></ul> Your Profile<ul><li>Bachelor's degree in Law, Finance, Accounting, Business Administration, or related discipline.</li><li>Minimum 5-8 years of compliance experience within asset management, hedge fund, private equity, or investment management firms.</li><li>Strong knowledge of SFC regulations, SFO, Type 4 and Type 9 licensing requirements, FMCC, and relevant regulatory frameworks.</li><li>Hands-on experience handling SFC inspections, licensing matters, regulatory filings, and compliance monitoring programs.</li><li>Familiarity with investor onboarding, institutional investor due diligence, compliance questionnaires, and fund-related compliance matters.</li><li>Excellent communication and stakeholder management skills with the ability to liaise directly with investors, regulators, and senior management.</li><li>Fluency in English required; Chinese (Cantonese and/or Mandarin) is an advantage.</li></ul> Reference Number: 67010-0013483154By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/RGVyZWsuTmdhaS43MDc0My4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-08-05T03:10:00Z

Compliance Manager - International Hedge Fund

Hong Kong,
remote
Permanent
50000 - 70000 HKD / Monthly
The CompanyMy client is a fast-growing hedge fund that is looking to hire a Compliance Manager to join its expanding team in Hong Kong. The Role <ul><li>Provide compliance advisory support to business stakeholders.</li><li>Ensure compliance with SFC regulations and internal policies.</li><li>Conduct compliance monitoring and surveillance reviews.</li><li>Manage regulatory filings, licensing matters, and regulator communications.</li><li>Review marketing materials, fund documents, and investor communications.</li><li>Support AML/KYC processes and ongoing compliance controls.</li><li>Monitor regulatory developments and recommend necessary enhancements to policies and procedures.</li><li>Assist with audits, regulatory inspections, and compliance projects.</li></ul> Your Profile<ul><li>Bachelor's degree in a relevant discipline.</li><li>5-7 years of compliance experience within hedge funds, asset management firms, or financial institutions.</li><li>Strong knowledge of Hong Kong regulatory requirements and SFC regulations.</li><li>Experience in compliance monitoring, regulatory advisory, and licensing matters.</li><li>Strong communication skills and ability to work independently in a fast-paced environment.</li><li>Fluent English required; Chinese language skills are an advantage.</li></ul> Apply Today To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted. Reference Number: 67010-0013472566By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/amVzc2ljYS55ZXVuZy45MjkwOC4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-07-20T01:55:31Z

Compliance Director (Foreign Corporate Bank, 1M - 1.4M)

Hong Kong,
remote
Permanent
1000000 - 1400000 HKD / Yearly
The CompanyForeign Corporate Bank The RoleKey Responsibilities<ul><li>Lead and manage all institutional and individual licensing matters, ensuring full compliance with regulatory requirements and the timely completion of approval processes.</li><li>Monitor regulatory developments and maintain effective frameworks to track and manage regulatory obligations across the organization.</li><li>Partner with compliance advisors and key stakeholders to ensure regulatory requirements are appropriately interpreted, implemented, and maintained.</li><li>Prepare and present management information, regulatory updates, and compliance risk reports, providing clear insights and recommendations to senior management and stakeholders.</li><li>Identify, assess, and escalate significant regulatory and compliance risks, while developing practical remediation plans and risk mitigation strategies.</li><li>Coordinate regional and global compliance initiatives, working closely with Head Office, Regional Offices, and affiliated group entities to ensure alignment and execution.</li><li>Deliver guidance and training to employees on compliance policies, procedures, and regulatory expectations.</li><li>Promote a strong culture of compliance, integrity, and ethical behaviour throughout the organization.</li><li>Act as a mentor and role model for junior compliance professionals, providing leadership and supporting their development.</li></ul> Your ProfileRequirements<ul><li>Bachelor's degree in Law, Finance, Accounting, or a related discipline, with approximately 10 years of relevant compliance experience.</li><li>Strong understanding of banking regulations, regulatory frameworks, and applicable local laws.</li><li>Proven experience engaging and communicating with regulatory authorities.</li><li>Commercially minded with strong analytical and problem-solving capabilities, able to navigate complex issues and provide practical solutions.</li><li>Self-motivated and capable of working independently in a fast-paced, high-pressure environment while effectively managing competing priorities.</li><li>Excellent stakeholder management, communication, and project coordination skills.</li></ul> Apply Today To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.Reference Number: 67010-0013467009By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/RGVyZWsuTmdhaS4wMTcwMC4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-07-08T07:06:27Z

Compliance Manager (Trust and Fiduciary - MLRO)

Central, Central and Western District
remote
Permanent
50000 - 80000 HKD / Monthly
The role<ul><li>Act as MLRO, overseeing AML/CFT framework, institutional risk assessments, and risk-based compliance controls.</li><li>Manage CDD/EDD processes, client onboarding, beneficial ownership verification, and ongoing monitoring.</li><li>Review suspicious activities, file STRs with JFIU, and maintain AML investigation records.</li><li>Liaise with regulators, handle TCSP inspections, regulatory filings, and compliance reporting obligations.</li><li>Conduct compliance monitoring, control testing, remediation, and provide reports to senior management.</li></ul><ul><li>Oversee Hong Kong & BVI corporate secretarial matters, statutory filings, governance, staff training, and record-keeping.</li></ul> Your Profile<ul><li>Extensive experience in AML/CFT, compliance, and financial crime within TCSP, fiduciary, or corporate services environments.</li><li>Strong corporate secretarial expertise, including Companies Registry filings and compliance with Hong Kong Companies Ordinance (Cap. 622).</li><li>Solid knowledge of AMLO (Cap. 615), AML/CFT regulations, and capability to independently perform MLRO responsibilities.</li><li>Proven ability to liaise with regulators, advise senior management, and exercise sound judgment on suspicious transaction reporting.</li><li>Experience in trust and fiduciary administration, UHNW client structures, and cross-border business arrangements is preferred.</li><li>Relevant qualifications (STEP, ICA, CAMS), fluency in English and Mandarin, and authority to maintain an effective AML/CFT framework.</li></ul> Reference no.: 67010-0013484749 By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/RGVyZWsuTmdhaS40MzczMy4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-08-07T07:52:28Z