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Senior Investment Compliance Manager

Job No.: 498631
Employment Type: Full time
Departments: Compliance Department
Job Functions: Compliance

Job Responsibilities:

Reporting to the Head of Compliance, the incumbent is expected to provide advisory services to business units regarding regulatory compliance issues on investment services and asset management and/or private equities business, participate and assist in regulatory compliance-related projects, review policies and procedures, investment compliance manuals in accordance with the relevant laws, regulations relating to investment business and asset management, and to conduct compliance reviews.


Job Requirements:

  • Bachelor degree in Law, Banking and Finance, Accounting  or related disciplines
  • Minimum 8 years relevant experience in investment compliance experience in financial industry, experience in asset management/private equities business is a definite plus  
  • Strong knowledge of regulatory requirements such as  Insurance Companies Ordinance, Securities and Futures Ordinance, SFC Code of Conduct and good understanding of Hong Kong insurance regulatory framework and experience in dealing with regulators is preferred
  • Detail-minded, mature, confident, self-motivated and able to work under pressure
  • A good team player & able to work proactively & independently
  • Proficient in spoken & written English & Chinese (Cantonese & Mandarin)



We offer 5-day work week, attractive remuneration package and excellent training & development opportunities.  Interested parties please apply with full resume including expected salary to


(Data collected will be used for recruitment purpose only.)

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