Description

Key responsibilities:

• Provide compliance oversight across the product lifecycle for SFC-authorised funds and non-authorised investment products
• Review and approve marketing and distribution materials to ensure regulatory compliance and mitigate risk
• Advise business stakeholders on product distribution, suitability requirements, and Professional Investor regulations
• Lead compliance reviews and transaction monitoring, identifying risks and strengthening governance controls
• Support regulatory change initiatives, process enhancements, and other strategic compliance projects

Candidate profile:

• Degree in Law, Accounting, Business, Finance, or a related discipline preferred
• 5+ years' compliance experience within asset management firms, financial institutions, or regulatory bodies
• Proven experience with SFC-authorised funds, particularly ETFs, and strong knowledge of the UT Code and applicable regulatory requirements
• Strong stakeholder management and communication skills, with proficiency in English and Chinese (Cantonese and/or Mandarin)
• Able to work independently in a fast-paced environment, manage competing priorities, and collaborate effectively across business and compliance teams

About the company:

A reputable investment management firm provides innovative financial solutions across a diverse portfolio of products and services. Offering a collaborative environment and strong development opportunities, the organisation empowers professionals to make a meaningful impact while supporting future growth.

Keywords: product compliance, ETF, fund regulatory compliance, risk management, SFC authorised funds, asset management, financial services

What's next:

Shape the future of ETF and fund compliance while driving regulatory excellence and impactful investment governance. Apply now!