Multiple Senior Compliance opportunities- Mutual Fund/Asset Management

多家中资资管/知名公募基金招募Senior Compliance, 感兴趣请联系微信mandyxu119 了解更多细节，欢迎转发与荐Opportunity 1: Investment Compliance – Asset Management (Confidential Hire)Our client - a top-tier Chinese-owned public fund manager is looking for Senior Investment Compliance manager to join their HK team.This is a hands-on, investment-facing compliance position within the compliance function. The successful candidate will work closely with investment teams while maintaining robust control oversight across funds and mandates.

Key Qualifications

Serve as a trusted compliance adviser to portfolio managers, traders and investment staff on restrictions, eligibility, trading matters and regulatory interpretation.Own and maintain the investment compliance policy and procedure framework, ensuring it remains current and commercially practical.Design, code, test and update investment compliance rules and limits in Bloomberg AIM.Run pre-trade and post-trade monitoring, exception review and breach investigation in Bloomberg AIM, including documentation, escalation and remediation tracking.Provide investment compliance support for new funds, mandate changes and product launches.Handle broader compliance coverage and ad-hoc compliance projects as required.

Requirements

3–8 years of investment compliance experience, preferably from a well-regarded asset management firm.Practical Bloomberg AIM experience, including rule coding and monitoring.Knowledge of Hong Kong regulatory requirements, including the Fund Manager Code of Conduct, UT Code, MPF regulations and relevant SFC rules.Exposure to SFC-authorised funds, UCITS, Cayman SPC and similar structures.Strong understanding of the asset management business and investment process.Bachelor's degree or above from a reputable university; master's degree preferred.Hands-on, detail-oriented and able to engage senior investment and compliance stakeholders.Proficient in English and Chinese, including Mandarin.Opportunity 2: Compliance Head – Equities, FICC & Equity Derivatives (Confidential Hire)Client: A prestigious Main Board-listed Chinese financial institution and leading boutique investment bank in Hong Kong.Key Qualifications & Requirements:Education: Bachelor's degree or above in Law, Finance, Risk Management, Accounting, or a related discipline.Experience: Minimum 10+ years of broad compliance experience in Hong Kong, with a proven track record in a Team Lead, or Senior Director capacity at an SFC-licensed investment bank, brokerage, or international financial institution.Product Mastery (MUST-HAVE): Solid, hands-on advisory experience across all three pillars: 1. Equities 2. FICC 3. Equity DerivativesRegulatory Expertise: In-depth knowledge of the SFO, SFC Codes of Conduct, Client Money/Asset Rules, and cross-border regulatory frameworks governing SFC Type 1,2,4,5,6 and 9 activities.Language Skills: Fluency in English and Mandarin (both written and spoken) is required.Opportunity 3: Compliance & Legal Director – Asset Management (One-Man-Band)Client: A premier Chinese asset manager, headquartered in Mainland China and recognised as a top-tier mutual fund house.Key Qualifications & Requirements:8–12 years of solid compliance and legal experience within SFC-licensed Type 9 asset managers; background in Chinese-funded / Mainland-linked asset management firms is highly preferred.University degree or above; LLB and/or LLM strongly preferred.Deep knowledge of SFC regulations and policies; hands-on experience with regulatory reporting and licensing.Excellent command of Mandarin, Cantonese and English (spoken and written).Strong analytical, judgement and problem-solving skills; meticulous, responsible and self-motivated.Able to work independently and manage multiple priorities in a standalone role.