Role Overview

As the Senior Compliance Manager, you will be the primary compliance advisor for our ETF platform in Hong Kong. You will ensure the firm’s ETF activities comply with the SFC's regulatory framework.

Key Responsibilities

• Provide expert advice on Hong Kong Securities and Futures Commission (SFC) regulations applicable to ETFs, including the Code on Unit Trusts and Mutual Funds and relevant circulars.
• Oversee compliance support for the full ETF product lifecycle — from product development and authorisation to launch, distribution, and ongoing maintenance.
• Liaise with the SFC and other regulators on ETF-related filings, submissions, and regulatory inquiries.
• Review and approve ETF offering documents, factsheets, advertisements, and marketing materials to ensure compliance with SFC and internal standards.
• Monitor regulatory developments in Hong Kong that impact ETFs; assess and communicate implications to internal stakeholders.
• Lead internal policy development and training specific to ETFs and passive investment products.

Requirements

• Minimum 8 years of relevant experience in compliance within asset management, financial services, or a regulatory agency, with a focus on ETFs or fund products.
• In-depth knowledge of Hong Kong SFC regulations and the regulatory environment for collective investment schemes.
• Familiarity with the authorisation process and ongoing compliance obligations for SFC-authorised ETFs.