Senior Compliance Officer

Send your CV to now!

Our client is A Leading Asset Management Company


  • Reporting to the Compliance Director in HK
  • Conduct AML / KYC assessment as required and assist in day-to-day AML monitoring
  • Assist in implementing and monitoring the Ethics program
  • Handle SFC licensing related matters such as application of license and ongoing licensing obligations
  • Conduct compliance monitoring and testing to ensure business operations comply with regulatory and internal requirements
  • Prepare regulatory reports and filings and assist on corporate secretarial matters, including drafting of board minutes
  • Review sales and marketing materials
  • Support Compliance and business initiatives
  • Assist with internal and regulatory audits and investigations
  • Perform pre and post-trade monitoring of investment guidelines
  • Conduct Compliance trainings


  • Master Degree in Finance, Accounting or Law degree preferred
  • Minimum 5 years of compliance experience with asset management firm
  • Familiar with Bloomberg AIM CMGR is an asset
  • Good command of written and spoken English and Chinese (Cantonese/Mandarin)
  • Strong analytical skills and the ability to manage several simultaneous tasks
  • A strong team player and able to engage people across all corporate hierarchies
  • A quick and enthusiastic learner who can work independently
  • A passionate team player who can work under time pressure
  • Excellent MS Office skills (especially Excel, knowledge in VBA is a definite plus)

Interested parties, please send your CV in MS Word format with an indication on present and expected salary to Mr. Lee via email at, thanks!