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Compliance Officer - Asset Management

Hong Kong Permanent HK$540,000 - HK$660,000 per year View Job Description
A well-established SFC 1,4,9 licensed investment management firm is seeking a Compliance Officer to support regulatory compliance, governance, and risk management activities. The role offers a wide range of responsibilities spanning AML, licensing, monitoring, advisory support, and regulatory engagement
  • Broad exposure across SFC 1,4,9 licensed realted compliance
  • Native Mandarin speaker is preferred

About Our Client

Our client is a SFC type 1,4,9 regulated financial services firm with an established presence in the investment management sector

Job Description

As a Compliance Officer, your main responsibilities will include:

    • Developing and implementing compliance policies and procedures in alignment with regulatory requirements.
    • Monitoring and assessing compliance risks across the organisation.
    • SupportAML/KYC reviews and ongoing client due diligence processes.
    • Manage licensing matters, regulatory filings, and interactions with relevant authorities.
    • Review marketing and client-facing materials from a compliance perspective.
    • Assist with audits, investigations, governance matters, and compliance training initiatives.



The Successful Applicant

A successful Compliance Officer should have:

    • Degree in Finance, Accounting, Law, or a related discipline.
    • Minimum 5 years of compliance experience within SFC type 1,4,9 licensed company or asset/investment management.
    • Strong understanding of AML, regulatory compliance, and risk control frameworks.
    • Fluent in English and Chinese with excellent analytical and communication skills, native in Mandarin is preferred



What's on Offer

    • Diverse and hands-on compliance coverage across multiple functions.
    • Exposure to senior management and key business stakeholders.
    • Supportive and collaborative working environment.
    • Opportunity for long-term career growth within a regulated organisation.

If this Compliance Officer role in the retail industry aligns with your skills and career goals, we encourage you to apply.

Contact
Faye Zheng
Quote job ref
JN-092026-7110934
Phone number
+852 25306105

Job summary

Function
Banking & Financial Services
Specialisation
Compliance & Legal
What is your area of specialisation?
Financial Services
Location
Hong Kong
Job Type:
Permanent
Consultant name
Faye Zheng
Consultant phone
+852 25306105
Job Reference
JN-092026-7110934

Diversity & Inclusion at Michael Page

We don't just accept difference - we celebrate it. We encourage applicants from all backgrounds to apply for this role and are committed to building inclusive, diverse workplaces where everyone can thrive. If you require any support or reasonable adjustments during the recruitment process, please let us know.