Chief Business Compliance & Risk Controller (Compliance and Risk Management)

Job level Senior
Work exp Minimum 6 Years
Education Bachelor Degree
Not Specified
Employment type Full Time
Industry Banking
Job function Banking / Finance > Asset Management
Banking / Finance > Legal / Compliance
Banking / Finance > Risk Management
Published On 26/01/2018
ref. 494869

Job No.: 494869
Employment Type: Full time
Departments: BOCHK Asset Management Ltd
Job Functions: Risk Management, Compliance, Asset Management



  • Advise on asset management for fund management and discretionary portfolio management
  • Advise on fund products include traditional / alternative funds (including hedge funds), real estate investment funds, MPF and ORSO schemes
  • Advise on fund offering to retail public or on private placement
  • Advise on / review relevant documents and agreements for fund administration services and custody services
  • Oversee and monitor the implementation of compliance and risk management control
  • Ensure the compliance of all relevant legislation, regulations and code of practices
  • Assist to supervise the team of Compliance and Risk Management


  • Degree in Law, Legal Studies, LLB, Business or related disciplines
  • Minimum of 6 years’ experience in financial industry or law firm
  • Solid experience gained in private practice and/or in-house positions at reputable financial institutions
  • Hong Kong qualified solicitor with 6-10 years
  • Qualified solicitor in Hong Kong with 6-10 years‘ PQE
  • Familiar with the rules and regulations under SFC regulated
  • Proficiency in MS Word, Excel and PowerPoint
  • A good team player with excellent presentation and communication skills.
  • Good command of spoken and written English, Mandarin and Cantonese