Junior Compliance Specialist in a leading Fund Platform [20-25k][20240524A]

Company Overview:

  • Leading asset management company/platform in Hong Kong.
  • Manages Asia-focused hedge fund strategies.
  • Offers robust asset management platform solutions for emerging managers.
  • Operates in key financial markets worldwide.

Job Description:

  • Execute buy-side compliance monitoring tasks.
  • Approve personal dealings and review fund newsletters.
  • Prepare regulatory reporting and document CPT (Continuous Professional Training).
  • Assess sanctions compliance and monitor investment breaches.
  • Handle SFC (Securities and Futures Commission) licensing tasks, such as filling out questionnaires, applying for licenses, and submitting necessary notifications and returns.
  • Facilitate the fund onboarding process by reviewing fund documentation, initiating account setups, and conducting AML (Anti-Money Laundering) screenings along with KYC (Know Your Customer) verifications.
  • Review and manage commercial contracts.
  • Liaise with both external and internal parties, including fund counterparties and clients, to communicate compliance stipulations associated with fund transactions.
  • Stay updated on regulatory changes and ensure timely revision and application of pertinent policies and procedural manuals to align with the latest regulatory demands.
  • Support senior compliance officers with miscellaneous ad hoc responsibilities, such as conducting research and performing gap analyses to evaluate potential enhancements to the compliance management system.


  • Bachelor’s degree holder, preferably in law, finance, or a related discipline.
  • Minimum of one year of professional experience in the compliance sector.
  • Familiarity with SFC codes and guidelines, especially for private funds.
  • Knowledge of Cayman Islands mutual funds beneficial.
  • Strong research and communication skills.
  • Proficiency in English and Chinese, both oral and written.
  • A self-starter with an analytical mindset and meticulous attention to detail.
  • Able to maintain efficiency under pressure and collaborate effectively within a team setting.

Role Type:

  • Employment Type: Full-time
  • Salary: HKD 20,000 – 25,000 per month
  • Position required by: 2nd July or earlier
  • Benefits: On-the-job training, career growth opportunities, exposure to international markets

Application Process:

  • Interested candidates, please send your CV via WhatsApp to 93472064, attention Mr. Ko.
  • Quote JOBID: 20240524A.