Compliance Director, Mutual Funds
Core
Ensure compliance with SFC Code on Unit Trusts and Mutual Funds, AML/CTF requirements, and Hong Kong regulations for mutual fund operations.
Role type
Senior compliance director (asset management)
Builds
Compliance policies, procedures, and monitoring programs for mutual funds
Domain
Financial services / Asset management / Mutual funds
Required skills
Regulatory knowledge (SFC, AML/CTF), risk assessment, policy design, internal audit leadership, stakeholder management, regulatory reporting
Preferred skills
Professional qualifications (CPA, CFA, CAMS), Mandarin proficiency
Technologies
N/A
Responsibilities
Design and update compliance policies; oversee regulatory filings; lead internal audits and manage external inspections; provide compliance training; act as primary regulator contact
Seniority
Senior, hands-on IC with team leadership
