Compliance Manager (HK)

We are assisting a single-family office in recruiting a Compliance & Risk Manager to serve as the functional lead. Candidates with extensive experience could be considered as Senior Manager.

Job Requirements

Compliance Management

• Ability to formulate, improve, and implement compliance policies, procedures, and internal control systems for family offices

• Monitor compliance risks in investment transactions, customer identification (KYC), AML, and related areas.

• Conduct regular compliance audits and risk assessments, propose rectification measures, and follow through on implementation.

Legal and Risk Management

• Familiarity with laws and regulations such as Company Law, Contract Law, Trust Law, Tax Law, AML Law, etc.

• Capable of handling legal document reviews, communications with regulators, resolving compliance disputes, and managing crisis incidents.

Internal/External Communication and Coordination

• Strong cross-department collaboration skills, working effectively with investment, legal, finance, operations, and other teams.

• Ability to clearly communicate compliance requirements and risk alerts to family members and senior executives.

Technical Tools Application

• Proficiency in compliance management systems, data analysis tools, and office software.

• Ability to utilize technology (e.g., AI risk control tools) to monitor unusual transactions.

Qualifications

• At least 3 years of experience in compliance, risk control, audit, or legal-related roles

• Experience in family offices, private banks, trust companies, or financial institutions’ compliance departments

• Experience in cross-border family wealth management compliance (e.g., offshore structures, overseas asset reporting)

• Bachelor's degree in Law, Finance, Accounting, Risk Management, Economics, or related fields are preferred.

• Professional certifications such as Legal Practitioner Qualification, CPA, CFA, FRM, CAMS (Certified Anti-Money Laundering Specialist) or other internationally recognized certifications is a plus