Senior Compliance Manager

Morgan McKinley Hong Kong

Posted 21 days ago Permanent Competitive

Our client is a well-established securities firm with a strong market presence in Hong Kong.

Responsibilities

Provide compliance guidance and risk prevention for the company's fund business, including product, sales, operations, and major business decisions.
Support licensing and daily compliance work (product reviews, compliance checks, and approvals).
Develop and implement fund compliance policies, procedures, and operating mechanisms to ensure lawful and compliant operations.
Coordinate with regulators (reports, inquiries, and data requests) and handle regulatory investigations/inspections/enforcement support.
Build and monitor a fund compliance risk framework, run compliance training, and track HK/international regulatory updates to drive internal improvements.

Requirements

Degree holder with over 7 years of relevant experience in fund product compliance in securities firms, fund managers or asset management companies.
Familiar with regulatory requirements, market practice and compliance controls on fund product distribution.
Fluent in written and spoken English and Chinese.

Job ID JN -072026-2005645

ABOUT COMPANY

Morgan McKinley - Hong Kong

Hong Kong

48 Employees HR & Recruitment

Morgan McKinley has been successfully connecting talented candidates with career opportunities for over 30 years. It’s in our DNA to Go Beyond – above...

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