Operations & Compliance Manager (MIC)
Intro Paragraph:
Join a dynamic asset management firm currently pursuing an SFC Type 9 license, fostering a collaborative and forward-thinking culture. This role involves overseeing regulatory compliance, operational oversight, and liaising with external service providers within an outsourced middle and back-office model. The successful candidate will be appointed as MIC responsible for Compliance, AML/CTF, Operational Control & Review (OCR), Finance & Accounting, and serve as MLRO after licensing approval. This position is crucial to ensuring the firm’s operational integrity and regulatory adherence.
Role Overview:
This role is essential within the organization to manage compliance and operational oversight, supporting the company’s growth and regulatory success. It involves coordinating with external advisors, maintaining compliance documentation, and overseeing operational processes to ensure smooth and compliant business operations.
Key Skills & Experience:
• 7–12 years’ experience in fund operations, compliance, audit, or legal functions
• Familiarity with outsourced operating models and institutional investor requirements
• Strong written and spoken English; fluency in Mandarin and basic Cantonese preferred
• Proactive use of technology and AI tools to improve efficiency
Key Responsibilities:
• Coordinate with external compliance advisors on licensing and compliance matters
• Maintain and support the implementation of compliance manuals, policies, and procedures
• Serve as MIC and MLRO post-licensing, overseeing ongoing compliance and SFC filings
• Manage compliance and operational documentation for regulatory reviews
• Review and monitor operational processes outsourced to third parties
• Coordinate investor onboarding/offboarding and CDD/KYC processes
• Liaise with external service providers including prime broker, fund administrator, legal counsel, and auditors
• Support corporate matters like entity formation and maintenance
• Assist with operational setup, workflow documentation, and automation initiatives
• Provide support for internal HR functions and recruitment, onboarding, and offboarding
Requirements:
• Bachelor’s degree or higher from an accredited US, UK, or Hong Kong university, preferably in accounting, finance, or business
• 7–12 years’ relevant experience in fund operations, compliance, audit, or legal functions
• Experience with outsourced models and institutional investor requirements
• Fluent in English; Mandarin and basic Cantonese preferred
• Demonstrated proactive approach to leveraging technology for operational efficiency
This is an excellent opportunity for a dedicated compliance and operations professional to grow within an ambitious asset management firm. If you meet the criteria, please apply now.
