Investment Compliance - International Asset Manager

An international asset manager seeks an Investment Compliance Professional to support Asia compliance monitoring in Hong Kong across global teams, ensuring regulatory adherence and controls.

As part of the role, you will liaise with investment and cross-functional teams to safeguard regulated activities and support global compliance monitoring, trading oversight, and information barrier matters across Asia, Japan, the UK, and the US.

Key responsibilities:

• Support the company’s compliance programs by monitoring daily trading activity to ensure adherence to investment guidelines, restrictions, and internal policies
• Implement monitoring and reporting frameworks for complex investment strategies
• Support the Information Barrier program, including MNPI risk assessments and establishment/removal of information barriers
• Provide insights on compliance trends and issues, with recommendations for remediation and process improvements
• Collaborate with global teams and regulators to support regulatory change initiatives and ongoing compliance alignment

Candidate profile:

• Bachelor’s degree with 3–5 years’ experience in financial services, ideally in mutual fund compliance, operations, or risk management
• Strong written and verbal communication skills
• Solid analytical and problem-solving abilities
• Highly organised with the ability to manage multiple priorities and work independently or in a team
• Mandarin and/or Japanese language skills are a plus

About the company:

A global financial services firm with an Asia presence focused on investment and asset management across diverse markets. It offers a collaborative, high-performance environment with strong emphasis on compliance, innovation, and professional growth.

Keywords: investment compliance, regulatory compliance, risk assessment, compliance insights support, mutual fund compliance, financial services

What’s next:

Apply now to join a global investment team and grow your career!