Associate - Compliance

E Fund Management (HK) Company Limited
Hong Kong
20 Aug 2017
28 Aug 2017
Contract Type

E Fund Management (HK) Co., Ltd (“E Fund HK”) was officially established in 2008 and is licensed by the Securities and Futures Commission of Hong Kong to conduct Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities. As a premier global business platform for E Fund Management Co., Limited (“E Fund”), E Fund HK has a subsidiary in New York, and listed several RQFII ETFs and RQFII/QFII public funds, at six stock exchanges across the US, Europe and the Asia-Pacific. Its award-winning products have been recognized by leading institutions such as Morningstar, Lipper, AsianInvestor and Benchmark for their strong performances relative to peers.


E Fund, the parent company of E Fund HK, was founded in 2001 and headquartered in Guangzhou. It has branch offices in Beijing, Guangzhou, Shanghai, and subsidiaries including E Fund HK and E Fund Asset Management Co., Ltd. E Fund has grown tremendously to become one of the largest fund management corporations in China with total assets under management exceed RMB 1 trillion* (including E Fund HK and China subsidiaries). It is licensed to cover a full spectrum of asset management services in China including, public funds, national social security fund, corporate annuities, discretionary accounts, QDII, QFII and RQFII. E Fund passed the independent verification of the Global Investment Performance Standards (GIPS) in August 2014, signifying an important step forward to become more internationalized with unified performance reporting.

Duties and Responsibilities

  • Perform compliance checking and review on investment products
  • Provide advisory services to business units on compliance related matters for those investment products
  • Liaise with SFC and other local authorities
  • Assist to update procedure manuals and ensure the processes are in compliance with regulatory guidelines and internal policies
  • Drafting and managing the roll out of Compliance policies, procedures and guidelines and any associated training requirements.


  • Accounting/ Finance Degree or LLB with legal and compliance background
  • Experience in an established Investment / Corporate Bank or Asset Management Firm;
  • Relevant experience in Mainland China strongly preferred;
  • Familiarized with investment products & SFO
  • Sensitive and react to changing regulatory requirement


  • Languages Skills: Good Command of English and Chinese, both spoken and written. Putonghua speaking is preferred.
  • A strong team player with excellent inter-personal and communication skills
  • Prioritization and multi-tasking skills
  • Prompt and systematic decision-making skills with good analytical skills
  • Handle ad-hoc project when required

Compensation and Benefits       

E Fund HK is a fast growing company with strong financial resources and parent company support. We offer competitive compensations and career growth opportunities. We also offer attractive benefit programs and continued education support.

Interested parties please submit your application with job reference number, full particulars of qualifications, experience, date of availability, latest and expected salary.

Applications will be treated in strict confidence.  Information collected will be treated strictly confidential and only be used for recruitment related purposes.

For more details, please visit our web site at