Senior Manager, Compliance (ETF)

TL;DR

Senior Manager, Compliance (ETF): Lead compliance advisor for the ETF business in Hong Kong and APAC, ensuring regulatory adherence and maintaining engagement with financial authorities. Focus on overseeing ETF regulatory obligations, driving the implementation of regulatory changes, and managing critical relationships with HKEx and SFC.

Location: Hong Kong (Hybrid: minimum 4 days per week in office)

Company

One of the world’s leading independent global investment firms dedicated to providing a wide range of investment strategies and vehicles to clients worldwide.

What you will do

• Act as the primary compliance contact for ETF matters across the APAC region, engaging with regulators like the SFC and HKEx.
• Manage all ETF-related regulatory filings, reports, and notifications to relevant stock exchanges and bodies.
• Provide expert compliance advice on new ETF initiatives, product launches, distribution, and marketing activities.
• Oversee the ETF product lifecycle, including new listings, index changes, and fund terminations.
• Manage the due-diligence framework for authorized participants (APs), market makers, and other outsourced service providers.
• Develop and maintain ETF-specific compliance policies and procedures to align with group standards and local laws.

Requirements

• Degree in Accounting, Finance, Law, or related disciplines.
• 8-10 years of relevant compliance experience in financial services, with significant exposure to ETFs or asset management.
• Strong working knowledge of SFC regulations and Hong Kong Listing Rules.
• Excellent communication proficiency in both English and Chinese.
• Must be based in Hong Kong to comply with the hybrid office policy.

Culture & Benefits

• Hybrid work schedule with flexibility to work one day remotely.
• Generous annual leave and flexible paid time off.
• Comprehensive health and wellbeing benefits.
• Access to learning and development programs.
• Employee stock purchase plan (where applicable).
• Parental leave benefits.