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Head of Compliance - Asset Management

  • Location

    Hong Kong City

  • Sector:

    Financial Services and Banking

  • Contact:

    James Tan

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    7 months ago

  • Expiry date:


Hamlyn Williams have partnered with a well-established asset management company to build out their compliance function in Hong Kong. With strong backing from their parent company to continue growing their presence in Greater China region, this company has gone through an active expansion in Hong Kong for the last 3 years.

As a senior member of the HK team, you will be working closely with Chief Operating Officer and playing a key role in devising strategies and plans for their compliance department.

This is an exciting opportunity for someone who is looking to join a well-established and growing asset management company in Hong Kong as well as looking to step into a Head of Department role. 


Job Responsibilities

  • Responsible for the company’s internal/external compliance and regulatory matters including implementing the Employee Compliance Code of Conduct, AML program, preparation of compliance reports, handling audits and regulatory enquiries, completing various questionnaires and surveys from regulators including regulators of the company’s parent companies in PRC
  • Conduct compliance monitoring and testing to ensure business operations comply with regulatory and internal requirements
  • Provide compliance advices, guidance, supports and trainings to various functions and business units
  • Disseminate laws and regulations issued by regulators and coordinate gap analysis with business units
  • Work with business units to analyze potential impact on regulatory trends and developments, and establish policies and procedures to ensure compliance with new regulatory requirements
  • Review, advise and approve new products and business initiatives
  • Review internal/external communication and marketing materials, including product advertisements, RFPs, client letters etc
  • Lead and support internal/external and regulatory audits and investigations
  • Investigate and rectify compliance breaches and errors
  • Prepare regulatory reports and filings and support corporate secretarial matters, including drafting board minutes


Job Requirements

  • Master Degree in Finance, Accounting or Law degree preferred
  • Minimum 10 years of compliance related experiences in asset management firm
  • Familiar with SFC rules and regulations, in particular those applicable to an asset manager
  • Familiar with relevant PRC investment rules and regulations, such as QFII / RQFII / QDII
  • Familiar with fund products including SFC authorized funds, MPF schemes and products
  • Familiar with Bloomberg AIM CMGR is an asset
  • Good command of written and spoken English and Chinese (Cantonese/Mandarin)


I am a buy-side market expert working with a wide range of clients across Asset Management and Private Equity industries. If this role is not of interest to you but you would like to explore other opportunities in the market, please feel free to reach out to me at +852 9868 8532 or for a confidential discussion.