• competitive package
  • Hong Kong
  • Permanent, Full time
  • Recruitment Intelligence Consultants Limited
  • 23 May 19

An international asset management firm is looking for a high caliber professional to join as Investment Compliance Manager/ AVP. The position is based in Hong Kong.


  • International Asset Management Firm
  • Excellent Exposure

Our client is an international asset management company with an unparalleled reputation across the Asia Pacific region.  With the continued growth of the organization, the need has arisen to recruit a high caliber professional to join them in Hong Kong.

A leadership role within Investment Compliance and provides oversight of the regional team in the Hong Kong office, as well as any Investment Compliance associates potentially located in other APAC offices in the future.  To effectively manage all aspects of the investment compliance program in the APAC region, including onboarding of new clients, coding of investment and operational restrictions, and pre- and post-trade compliance monitoring. Direct manage and provide leadership to the team in the Hong Kong office. Manage the daily operations of the investment compliance function in the Hong Kong office, including providing subject matter expertise and oversight of the new account take-on, rule coding and monitoring processes. Demonstrates a proficient understanding of all aspects of the investment compliance monitoring program and ensures appropriate policies, procedures and internal controls are established and followed. Establishes clear objectives and expectations and holds associates accountable for individual and team performance. Collaborates with direct reports and indirect line managers to create individual development plans that meet organizational objectives and career development goals. Provides the necessary resources to continually increase business knowledge and compliance expertise. Cultivates strong day-to-day working relationships with investment and trading personnel and other key business partners in the Hong Kong office and the APAC region to positively influence their understanding of compliance and interaction with the Investment Compliance function. Demonstrates a proficient understanding of the firm’s investment strategies, global regulatory requirements, and investment compliance processes and systems. Demonstrates deep knowledge of regulations across various jurisdictions in the APAC region, including Japan, and has extensive investment compliance experience with various products, including 1940-Act, SICAVs, OEICs, ITMs, etc.

To be qualified, you should be a Degree holder with 8 to 10 years  related work experience, preferably in Investment Compliance. Experience in people management. Advanced knowledge of programming investment compliance systems, preferably Charles River. Investment/securities knowledge, including derivatives. Demonstration of leadership qualities and abilities. Excellent communication and interpersonal skills

Interested applicants should send a detailed resume to Michelle Ho by email to or by fax to (852) 2838 3323 quoting reference eFC3042.

(Applicants not contacted within 4 weeks should consider their application unsuccessful.)