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Compliance Officer (12- 15yrs+ exp), US Fund House

Executive X Consultants Limited Hong Kong
Posted 3 days ago Permanent Attractive Remuneration Package
Our client is a US Fund House, they are now looking for a compliance candidate to join their newly set up HK office.


  • Review and implement the Firm’s compliance policies and procedures 
  • Perform regular investment compliance monitoring to ensure groups complying with relevant fund investment guidelines 
  • Partner on compliance onboarding, new hire, and annual trainings 
  • Create and submit regulatory filings and lead on interactions with the local regulator 
  • Coordinate, track, distribute, and review quarterly compliance certifications 
  • Maintain internal controls to detect violations of company policies and procedures 
  • Collaborate with Marketing team to provide compliance oversight related to RFIs, RFPs, DDQs, investment commentaries, presentations, and other materials 
  • Partner with the business to review any event, meeting, corporate access requests that require review and approval 
  • Review account opening processes and ensure clients adhere to SFC AML/KYC guidelines 
  • Conduct compliance testing, compliance review, transaction monitoring and prepare compliance testing reports 
  • Provide AML and compliance support and advisory including reviewing policies & procedures, gap analysis and annual compliance attestation 
  • Lead AML and compliance risk assessment, projects, and implementation. Run gap analysis for compliance and AML frameworks, annual compliance attestation and provide support to handle regulatory enquires 
  • Work alongside the GC/CCO to review guidelines and other agreements with clients, financial institutions, consultants, plan fiduciaries, and investment advisers
  • Alert the CCO of any SFC regulatory developments that would require updates to policies and procedures 
  • Educate investment and non-investment staff on compliance related matters and enforce compliance policies 
  • Keep current with any changes to regulations that would impact the Firm 



  • Bachelor’s degree 
  • In depth knowledge and understanding of SFC compliance requirements for an SFC regulated entity 
  • Minimum of 12 years compliance experience, preferably at an investment adviser 
  • Strong oral and written communication skills 
  • Purpose-Driven: Starts with Why – in service of our communities, our clients, and each other 
  • Accountable: Operates with autonomy and drives towards results 
  • Emotionally Intelligent: Demonstrates self-awareness and interpersonal skills 
  • Grit: Persists in the face of adversity 
  • Lifelong Learner: Employs a growth mindset and strives to become more 

***All personal data will only be collected for recruitment purpose only

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