Group H

Senior Compliance Manager / Compliance Manager (BB-56862)

Found in: Neuvoo Premium HK


Role: Manage and perform day-to-day compliance works in relation to SFC Type 4 & 9 activities including:


  • Manage the risk and compliance function for the asset management business, play a key role in providing compliance input when setting up new investment products.
  • Set up of new investment fund (mainly offshore funds) by liaison with external legal counsels and internal parties;
  • Perform AML assessment and independence checks;
  • Monitor compliance risk on investment funds/projects;
  • Update compliance policies and procedures, enhancement of compliance control and monitoring program.
  • Supervise junior staff to conduct general compliance work such as licensing, staff dealing and compliance training;
  • Develop the corporate governance function, responsible for CRS and FATCA compliance and reporting.
  • Stay up to date on regulatory changes, assessing impact and advice management for any implications.
  • Produce compliance and risk report for management review on a regular basis.
  • Advise the board and COO in general compliance issues.


  • University graduate, 8 years or above work experience; minimum 5 years of in an asset management compliance in Hong Kong.
  • Strong understanding of information control and conflicts of interest issues, as well as surveillance and monitoring experience
  • Strong knowledge of the Hong Kong SFC rules in relation in investment and fund management, and knowledge of some similar rules in mainland China.
  • Experience in communicating with regulators.
  • Excellent command of spoken and written English and Chinese.

Interested parties please attach with your full resume with current and expected salary to

calendar_today22 hours ago

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