Job title: Regulatory Compliance Advisory – Senior Associate / Manager level
Job type: Permanent
Emp type: Full-time
Industry: Professional Services: Consulting
Expertise: Compliance
Salary type: Annual
Salary from: HKD $480,000.00
Salary to: HKD $800,000.00
Job published: 28-11-2019
Job ID: 34214
Contact name: Jennifer Yang
Phone number: +852 3708 9510
Contact email:

Job Description

Regulatory Compliance Advisory – Senior Associate / Manager level


Our client is a unique global consultancy firm and a market leader by setting up a unique team to address regulatory matters facing our clients in the market. It provides in depth and comprehensive cutting-edge regulatory compliance support both domestically and globally to leading hedge funds, private equity, asset managers, banks and broker-dealers. As APAC business is growing rapidly,

an exciting opportunity has arisen for an experienced legal, or risk management, or Compliance or audit professional to join their Hong Kong team.


Reporting directly to Partner, you will be advising on a full range of compliance and regulatory issues associated with the fund trading for Asia regions with HK market focus, you will also be responsible for licensing, regulatory inquiries and surveys, trading surveillance, risk management and threshold monitoring, reporting.


This role is essential, as subject matters expert, you will be responsible to take the lead in providing regulatory advises to global clients which includes prestigious hedge funds, private equity, asset managers, banks and broker-dealers. You will be responsible to assist and update compliance framework with latest regulatory requirements, managing Ad-Hoc compliance projects, draft/update policy and procedures, build/update pre-trade controls and post-trade surveillance, assist with compliance policies and control review as well as advisory on compliance governance.  



To qualify, individuals must possess:


  • University degree in Law, Accounting, Business or related fields
  • Minimum 5+ years’ experience in an asset management or PE or hedge fund setting
  • Strong knowledge of Compliance ordinance and guidance applicable in Hong Kong (HKMA, SFO, SFC) and the international regulatory environment applicable to asset and hedge fund management, including Europe and the US
  • Equipped knowledge with various SEC, CFTC/NFA, FINRA rules and compliance policies, procedures and materials produced by asset managers, hedge funds, private equity and real-estate funds
  • Entrepreneurial inclination – ability to work alone and act as a project manager
  • Good team player – one who is able to prioritize in a fast moving, high pressure, constantly changing environment
  • Strong business acumen with ability to work with various departments in different offices globally and build smooth working relationships
  • Strong analytical and problem solving skills
  • Experience with Financial Conduct Authority (FCA) a plus
  • Excellent communications skills with fluency in English


To apply, please contact Jennifer Yang for a confidential discussion at (852) 3708 9510 or email quoting job reference number JY 34214. To visit more Legal, Compliance and Risk management jobs please check


Data collected will be for recruitment purposes only. Only shortlisted candidates will be contacted. If you have not been contacted within 5 business days of your application, please assume your application has not been shortlisted.