Director, Compliance

Send your CV to now!

Our client is A Leading Asset Management Company in Hong Kong



  • Reporting to the Chief Operation Officer
  • Establishing and implementing compliance policies and procedure
  • Liaise with supervisory authorities in respect of all compliance related matters
  • Conduct compliance monitoring and testing to ensure business operations comply with regulatory and internal requirements
  • Provide compliance advice, guidance and assistance to various functions and business units
  • Monitor ongoing regulatory changes to businesses and implement policy change where required
  • Prepare training materials and provide in-person compliance training to staff
  • Assist with internal and regulatory audits and investigations
  • Prepare regulatory reports and filings and assist on corporate secretarial matters, including drafting of board minutes 



  • University degree holder with Minimum 8 years of compliance related experiences in asset management firm
  • Familiar with Bloomberg AIM CMGR
  • Good command of written and spoken English and Chinese (Cantonese/Mandarin) 


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!