[Immediate Hire] Junior Compliance Officer (1-3 years experience) Asset Management firm

Job Title: [Immediate Hire] Junior Compliance Officer (1-3 years experience) Asset Management firm
Contract Type: Permanent
Location: Hong Kong
Salary: Negotiable
Reference: GL170609-1
Contact Name: Grace Liu
Contact Email:
Job Published: June 13, 2017 10:32

Job Description

Our Client, a well-established Japanese Asset Management Firm, is now looking for a Junior Compliance Officer.

Major Duties:

  • Compliance checking on staff and funds trading, dealing
  • Reviewing all Agreements/Contracts and Disciplinary Procedure
  • Reviewing and updating internal guidelines and policies for both HK and Shanghai office
  • Monitor Compliance of both internal and external rules, regulations and guidelines
  • Advise Management on any Compliance issues or Compliance inquiries and identify potential impacts
  • Organizing and preparing materials for Compliance training to all staff every quarter
  • Conduct monthly compliance meeting with Tokyo head office and Shanghai office
  • Assisting the General Manger for the administration work
    (e.g. legislation update, collaborate for regulatory submission, etc.)
  • Take business trip to Shanghai office at least once a year


  • Liaises with the SFC for all Compliance issues (i.e. licensing, reporting, company inspection, etc)
  • Annual Submission of Fund Management and Business Risk Management Report to SFC


  • University degree or above
  • 2 to 3 years’ experience in the capacity of compliance in finance industry 
  • Having experience to communicate with SFC on license matters
  • Alert, hardworking, detail minded and self motivated
  • Fluent in English, Cantonese and Mandarin

Interested candidates, please kindly send your detailed resume in WORD format including:
1) Current and expected salary
2) Availability
3) Reason for leaving current and past employments

 directly to: and

Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.