Chief Compliance Officer (Asset Management)
ES Corporate Functions · Hong Kong
ApplyJob Description
About the Role We are seeking a seasoned compliance professional to join an expanding asset manager as the Chief Compliance Officer, looking after all legal and regulatory functions. This role is central to ensuring the firm operates with the highest integrity, particularly across equity capital markets and alternative investment strategies. Summary of the role and key responsibilities • Take full ownership of all legal, compliance, and regulatory functions. • Build, implement, and maintain compliance policies in line with SFC and global standards. • Oversee wall-crossing procedures and safeguard the handling of material non-public information. • Guide the business on regulatory considerations for new product initiatives. • Serve as the primary liaison with external counsel, regulators, and key service partners. • Deliver ongoing compliance training and champion a culture of integrity across the firm. • Stay ahead of regulatory developments and assess their business implications. • Lead licensing, reporting, and audit engagements with relevant authorities. • Partner with operations and investor relations teams on client onboarding, KYC/AML, and legal record-keeping.
ES Corporate Functions
Hong Kong
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