Compliance Vice President – (Mutual Fund, Private Fund, Discretionary Account)

Harbridge Partners Limited


HK$55,000 – HK$90,000 /month

Posted on 9-Jan-23

Job Highlights

  • Compliance VP, buyside, fund, asset management
  • Fund Compliance, SFC 1,4,6,9, mutual fund set-up
  • Investment arm of top tier SOE investment bank.

Job Description


Our client is a fund house and investment arm which belongs to a top- tier SOE Investment Bank. They are currently looking for a compliance professional who has experience in SFC type 9 compliance, in particular in mutual fund set-up and private fund compliance.

The company currently holds SFC 1,4,6,9 licenses.


  • Work with the Head of Legal and Compliance on providing professional advice to business actives ion n related to SFC type 9 activities.
  • Improve, maintain and update compliance policies.
  • Provide necessary advice to the business, e.g. Maintain an effective Chinese wall and facilitate wall crossing;
  • Provide compliance consultation and advice on Type 9 license business;
  • Revise, improve and implement the Compliance Manual for the investment platform, including code of conduct, Chinese Wall, restricted/watch list procedures, conflicts of interest, suitability, product due diligence, anti-corruption & bribery, AML and asset management policies and procedures.
  • Draft, review and comment internal policies related to mutual fund set up, private fund management and Separate Account management;
  • Advise business line management and assist in providing solutions to potential problems or issues involving compliance or regulatory risk
  • Identify regulatory or reputation risks and escalate to board level for resolution
  • Perform and review the compliance monitoring program regularly;
  • Take a leading role in strategic and policy issues regarding compliance and regulatory matters affecting the business in the country and/or region
  • Prepare internal compliance reports required by the Head Office;
  • Handle SFC license applications and notifications;
  • Handle internal monitoring for preventing conflicts of interest;
  • Liaise with regulators on any business-related compliance matters
  • Perform ad hoc projects and other tasks as assigned


  • Minimum 7 years related compliance work experience with Bachelor’s degree or above;
  • With experience in Chinese financial institutions, handling Type 9 license experience is a must;
  • Excellent regulatory knowledge of the financial industry, especially on Securities and Futures Ordinance;
  • Strong communication skills with a good sense of teamwork;
  • Strong written and spoken Chinese/ Mandarin and English.
Job Functions: Banking / Financial Services / Insurance
Job Type: Full Time Permanent
Years of Experience: 7 Years

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