Senior Compliance Officer

Financial Services | Risk and Compliance | Hong Kong

Financial Services | Risk and Compliance | Hong Kong

About KPMG Executive Search and Recruitment

KPMG is a global network of professional services firms providing Audit, Tax and Advisory services. KPMG Executive Search and Recruitment is a business unit of KPMG China and is one of the few recruitment consultancy firms in Hong Kong that is part of a large professional organisation. We work alongside a group of professionals and advisors who provide us with a high level of insights and awareness about a wide range of businesses and professions. We support the clients and aim to provide a pleasant working experience for the clients and candidates.

The Client

Our client is a well established Chinese fund house.


  • Report to the Head of Compliance
  • Perform pre/post-trade investment monitoring based on guidelines. Candidate with MPF investment guidelines and bond investment guidelines is preferred. Perform periodical review on investment guidelines
  • Conduct AML/KYC assessment, assist in daily AML monitoring and perform annual KYC review of the clients and name screening of employee onboard
  • Review internal/external communication & marketing materials, including product advertisements, RFPs, DDQs; Support bank/securities account opening from compliance perspective
  • Prepare regulatory reports and filings. Assist internal and regulatory audits and investigations, support filing to regulatory authorities in respect of all compliance related matters in China, Hong Kong, Singapore, Korea, US etc; responsible for due diligence process review of the company or service providers Conduct compliance monitoring and testing to ensure business operations compliance. Consolidate results and compile reports
  • Monitor ongoing regulatory changes to businesses and establish and implement policy change
  • Other compliance related work such as monitor the CPT of the licensees; licensing, gift and Entertainment process; prepare training materials to supervisor; ad-hoc administrative work of the department


  • University degree in Finance, Accounting or Law degree preferred
  • At least 4 years of compliance related experiences in asset management firm
  • Knowledgeable of asset management regulations and operational procedures
  • Familiar with Bloomberg AIM CMGR
  • Good command of written and spoken English and Chinese
  • Strong analytical skills with multi-tasking ability
  • A strong team player and able to engage people in all levels
  • A quick and enthusiastic learner who can work independently


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