Compliance, Senior Manager - Asset Management

A financial organisation in Hong Kong seeks a Senior Manager - Compliance to support regional and SFC-licensed compliance functions as part of a fast-paced team reporting to the Director.

Key responsibilities:

As Senior Manager for Compliance, you will oversee Asia compliance activities, manage regulatory engagements and audits, support initiatives, address risks and breaches, and report key matters to senior management.

• Support implementation and enhancement of the compliance program, including policies, controls, and procedures to ensure regulatory adherence
• Coordinate regulatory reviews, examinations, inquiries, and audits to ensure effective and timely engagement
• Manage regulatory filings, licensing, and registration requirements
• Assess regulatory developments and provide compliance guidance for new initiatives, products, and process changes
• Identify, escalate, and oversee resolution of compliance risks, breaches, and control weaknesses, including remediation tracking and reporting
• Collaborate with regulators (e.g. SFC, MPFA) and apply relevant laws, regulations, and industry best practices in compliance management
• Partner with cross-functional stakeholders and support compliance reporting, training, marketing review, and management information for leadership and committees

Candidate profile:

To excel in this role, you bring asset management compliance experience, strong knowledge of SFO and Codes of Conduct (Type 1/4/9), excellent stakeholder skills, and a proactive, solutions-focused mindset.

• Strong expertise in asset management compliance with 8+ years’ experience and a degree in Business, Finance, Accounting or related discipline
• Deep knowledge of SFO, Codes of Conduct, and Type 1, 4, 9 regulations (MPFSO knowledge a plus)
• Proven ability to operate in complex, matrix organisations and navigate cross-functional environments
• Strong stakeholder management skills with experience engaging regulators and senior executives
• Excellent communication, presentation, and influencing skills with ability to produce clear management and committee materials
• Solutions-oriented mindset with strong regulatory risk awareness, problem-solving ability, and ability to drive issues to resolution
• Proficient in Microsoft Office and responsible use of AI tools to enhance analysis, reporting, and workflow efficiency

About the company:

A financial services organisation that provides insurance and wealth solutions with a strong track record of serving diverse client needs and driving long-term growth. It offers a collaborative, people-focused environment with strong development support, flexible working, and a future-oriented culture centred on innovation and customer wellbeing.

Keywords: regulatory compliance, SFC compliance, compliance programme, regulatory filings, Codes of Conduct, financial services, asset management

What’s next:

Submit your application today and take the next step in your career with a fast-paced, growth-focused organisation.