Compliance Manager - External Asset Manager (EAM) Platform
# Compliance Manager - External Asset Manager (EAM) Platform **Larson Maddox** · Hong Kong · `On-site` 🕒 **Статус:** *Опубликовано: 13 дней назад* · *Источник: Indeed* --- ### About the Role External Asset Manager (EAM) Platform | SFC Type 4 & 9 Licensed Corporation Hong Kong A growing External Asset Manager (EAM) platform is seeking an experienced Compliance Manager to join its Hong Kong office. This is a unique opportunity to take on a broad compliance role within a dynamic and entrepreneurial environment, working closely with senior management, relationship managers, and high-net-worth client advisory teams. The successful candidate will oversee all aspects of regulatory compliance, AML/CFT, and governance for the firm's SFC-regulated activities, while supporting ongoing business growth and strategic initiatives. Key Responsibilities Act as the primary point of contact for the SFC and manage regulatory communications. Oversee the firm's compliance framework for Type 4 and Type 9 regulated activities. Provide compliance advice to senior management and front-office stakeholders. Manage regulatory filings, licensing matters, inspections, and enquiries. Oversee AML/KYC controls, transaction monitoring, and financial crime compliance. Conduct compliance monitoring reviews and assess regulatory risks. Review client onboarding, discretionary mandates, investment products, and marketing materials. Support new business initiatives from a regulatory and compliance perspective. Deliver compliance training and foster a strong compliance culture across the business. Liaise with external service providers, auditors, legal counsel, and consultants. Requirements Bachelor's degree in Law, Finance, Business, or a related discipline. Around 6-10+ years of compliance experience within asset management, wealth management, EAMs, private banking, family offices, or other SFC-regulated financial institutions. Strong knowledge of SFC regulations, AML/CFT requirements, and regulatory expectations for Type 4 and Type 9 licensed firms. Experience managing regulatory inspections, licensing matters, and compliance monitoring programs. Excellent communication and stakeholder management skills. Ability to work independently within a lean team environment. Fluency in English and Chinese (Cantonese and/or Mandarin). Why Join Broad and highly visible compliance role. Opportunity to work closely with senior leadership and business stakeholders. Exposure to wealth management, discretionary portfolio management, and high-net-worth client businesses. Lean team structure with significant autonomy and ownership. Growing platform with strong long-term development opportunities.
Наблюдалась 2026-09-15, впервые 2026-09-02, источник — Indeed.