Compliance Specialist - Larson Maddox

External Asset Manager (EAM) Platform | SFC Type 4 & 9 Licensed Corporation

Hong Kong

A growing External Asset Manager (EAM) platform is seeking an experienced Compliance Manager to join its Hong Kong office. This is a unique opportunity to take on a broad compliance role within a dynamic and entrepreneurial environment, working closely with senior management, relationship managers, and high-net-worth client advisory teams.

The successful candidate will oversee all aspects of regulatory compliance, AML/CFT, and governance for the firm's SFC-regulated activities, while supporting ongoing business growth and strategic initiatives.

Key Responsibilities

• Act as the primary point of contact for the SFC and manage regulatory communications.
• Oversee the firm's compliance framework for Type 4 and Type 9 regulated activities.
• Provide compliance advice to senior management and front-office stakeholders.
• Manage regulatory filings, licensing matters, inspections, and enquiries.
• Oversee AML/KYC controls, transaction monitoring, and financial crime compliance.
• Conduct compliance monitoring reviews and assess regulatory risks.
• Review client onboarding, discretionary mandates, investment products, and marketing materials.
• Support new business initiatives from a regulatory and compliance perspective.
• Deliver compliance training and foster a strong compliance culture across the business.
• Liaise with external service providers, auditors, legal counsel, and consultants.

Requirements

• Bachelor's degree in Law, Finance, Business, or a related discipline.
• Around 6-10+ years of compliance experience within asset management, wealth management, EAMs, private banking, family offices, or other SFC-regulated financial institutions.
• Strong knowledge of SFC regulations, AML/CFT requirements, and regulatory expectations for Type 4 and Type 9 licensed firms.
• Experience managing regulatory inspections, licensing matters, and compliance monitoring programs.
• Excellent communication and stakeholder management skills.
• Ability to work independently within a lean team environment.
• Fluency in English and Chinese (Cantonese and/or Mandarin).

Why Join

• Broad and highly visible compliance role.
• Opportunity to work closely with senior leadership and business stakeholders.
• Exposure to wealth management, discretionary portfolio management, and high-net-worth client businesses.
• Lean team structure with significant autonomy and ownership.
• Growing platform with strong long-term development opportunities.