Compliance Associate- AVP- Global Alternative Asset Manager in Hong Kong

7 days ago


Hong Kong, Central and Western District, Hong Kong SAR China Polymath Search Full time
Compliance Associate- AVP- Global Alternative Asset Manager in Hong Kong

Our client, one of the largest alternative asset managers in the world, is seeking a compliance candidate with 3 to 6 years of experience to be part of their legal and compliance team in Hong Kong.

Reporting into the APAC Head of Compliance based in Hong Kong, you will be primarily handling Hong Kong regulatory compliance work but will also support its businesses throughout the region.

Responsibilities of the role:

  • Monitoring and advising on regulatory compliance matters for SFC licensed entity (Type 1 & 4).
  • Advising on entity and individual licensing and registration requirements, as well as other compliance-related matters for the business in Hong Kong.
  • Preparing license applications, conducting regulatory filings, and coordinating with local regulatory officials as necessary.
  • Handling day-to-day regulatory matters, including inquiries, surveys, and inspections.
  • Keeping abreast of regulatory changes throughout the region and advising on their impact on the business.
  • Developing, maintaining, and testing compliance processes to ensure adherence to applicable laws, regulations, and firm policies.
  • Preparing compliance reports for senior management, regulators, and other interested parties.
  • Managing stakeholders across the firm's global offices.

Requirements of the role:

  • Bachelor's degree or above with 3 to 6+ years of compliance experience gained from global asset managers/ compliance firm or regulatory body in Hong Kong.
  • Knowledge and experience with SFC (Type 1,4) licensed entities is a plus.
  • Excellent written and spoken English and Chinese required as you will be handling Chinese related documents.
  • Strong team player with the ability to work independently with minimal supervision and excel under tight deadlines.
  • Ability to communicate confidently and effectively with individuals at all levels, including senior management.

Application Process: If you have relevant experience and are interested in having a confidential discussion, please forward your CV to We regret that only shortlisted candidates will be contacted.

SG EA Licence No | 23S2043 HK EA Licence No | 77264 Registration No | R2411975

Seniority level

Associate

Employment type

Full-time

Job function

Legal and Other

Industries

Investment Management, Venture Capital and Private Equity Principals, and Financial Services

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