Associate Director, Compliance & Risk
Core
Provide senior, hands-on second-line oversight, advice, and support for compliance, risk management, and AML/CTF matters to ensure alignment with Hong Kong regulatory expectations and internal standards.
Role type
Senior IC Associate Director (Compliance & Risk)
Builds
Robust compliance frameworks, risk management controls, and AML/CTF governance for an asset management and financial services group.
Domain
Financial Services / Asset Management / Regulatory Compliance
Required skills
Regulatory compliance oversight, risk management, AML/CTF governance, conflict of interest monitoring, governance reporting, incident management, stakeholder engagement, policy development, regulatory liaison, constructive challenge
Preferred skills
MIC experience, board matter experience, investment management knowledge, trading systems proficiency
Technologies
Trading systems, AI-enabled monitoring tools
Responsibilities
Advise on portfolio management, trading, and investment operations compliance; monitor conflicts of interest and market conduct; lead risk assessments and KRI monitoring; oversee AML tasks including CDD/KYC; manage incident breaches and root-cause analysis; support regulatory inspections and audit responses; maintain compliance policies and conduct awareness sessions.
Seniority
Senior, hands-on IC
