Job No.: 493961
Employment Type: Full time
Departments: BOCHK Asset Management Ltd
Job Functions: Risk Management, Compliance

Assistant Compliance and Risk Management Manager


  • Coordinate and liaise with regulatory authorities on licensing, enquiries, breaches, complaints, regular reporting and other related issues.
  • Develop current/future plans, key statistics, monthly reporting, presentation decks and any other information for management attention.
  •  Undertake regular compliance & risk management monitoring, thematic reviews and assessments in ensuring compliance with Group /regulatory requirements.
  • Set up internal control policies and procedures and keep track of regulatory requirements.
  • Provide compliance advice on various business matters, projects and other initiatives.
  • MI preparation for regulatory / Local / Regional Business Reports.
  • Perform ad hoc tasks as required.


  • Degree in Law, Finance or Business related disciplines
  • Min of 3 year's of relevant experience, preferably in asset management industry
  • Well versed with SFC and other regulator rules and regulations for Type 1, 4 or 9 regulated activities
  • Experience working in investment funds, mandatory provident funds and KYC/CDD
  • Good communication and interpersonal skills
  • Strong PC skills in Microsoft Office (including Excel, Access and Word), Bloomberg is preferred

We offer competitive remuneration package and comprehensive fringe benefits including medical and life insurance, and different types of allowances to the right candidates. Interested parties, please submit your application online. For details, please visit our website “” 

Data collected would be used for recruitment purposes only. Applicants who do not hear from us within 8 weeks may consider their application unsuccessful and their data will be destroyed within 12 months of receipt.

Job level Middle
Work exp 3 Years
Education Bachelor Degree
Industry Banking
Job function Banking / Finance (Risk Management)
Accounting (Compliance)
Banking / Finance (Asset Management)
Location Hong Kong
Employment type Full Time
Published On 18/11/2016