Compliance Manager

Who we’re looking for

We are looking for a proactive, adaptable and experienced compliance professional to join the Central Compliance team, based in Hong Kong

This role will support Schroders’ Central Compliance activities, with a particular focus on employee compliance, governance and policy matters, licensing and regulatory filings, regulatory monitoring and reporting, and corporate compliance obligations in Hong Kong. The role will also support Group-led Central Compliance initiatives and projects, working closely with colleagues in London and across the region.

The successful candidate should be comfortable operating in a global organisation, able to communicate clearly with senior stakeholders, and capable of managing both regular compliance processes and ad-hoc regulatory or business requests with good judgement and professionalism.

About Schroders

We’re a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.

We have around 5,000 people on six continents and we’ve been around for over 200 years, but keep adapting as society and technology changes. What doesn’t change is our commitment to helping our clients, and society, prosper.

The base

This role is based in Hong Kong and forms part of the global Central Compliance team, with its primary reporting line into the London-based Central Compliance team. It will also support the Hong Kong Compliance function and the North Asia business.

The role will work closely with Central Compliance colleagues in London, regional Compliance colleagues across Asia Pacific, and local business and control function stakeholders in Hong Kong.

The team

The Central Compliance team owns and manages global compliance frameworks, exercises oversight of their application and provides support to global functional teams and business areas through areas such as compliance assurance, training, policies and employee compliance.

In Hong Kong, this role will provide Central Compliance support while also covering key local corporate compliance responsibilities. The role is expected to act as an important link between Group Central Compliance and the Hong Kong / North Asia Compliance function.

What you’ll do

• Support the management and enhancement of efficient and disciplined Central Compliance processes, controls and governance arrangements.

• Support employee compliance activities, including personal account dealing, gifts and entertainment, outside business interests, conflicts of interest and related monitoring or reporting processes.

• Assist with the implementation of Group Central Compliance initiatives, policies and projects in Hong Kong and, where relevant, across the region.

• Support licensing and regulatory filing matters, including licensing applications, notifications, annual returns, regulatory questionnaires and other ongoing regulatory obligations.

• Coordinate regulatory monitoring and reporting, including tracking relevant regulatory developments, filing deadlines, periodic submissions and internal compliance reporting requirements.

• Prepare and contribute to compliance management information for senior management, committees, regulated entity boards and regional or Group stakeholders.

• Support corporate compliance matters, including maintenance of compliance policies and procedures, regulatory registers, staff attestations, training records and related governance documentation.

• Assist with compliance monitoring, surveillance, thematic reviews and follow-up actions arising from reviews, audits, incidents or regulatory developments.

• Support regulatory change management by assessing developments relevant to the Hong Kong business, participating in industry working groups and coordinating input from relevant stakeholders.

• Liaise with Group Central Compliance, regional Compliance teams, Legal, Risk, HR, Operations and business stakeholders on compliance matters and project deliverables.

• Perform ad-hoc research, analysis, reporting and process improvement work to support Central Compliance and local Compliance priorities.

The knowledge, experience and qualifications you need

• At least 5 years of experience in Compliance, Legal, Risk or a regulatory function within asset management, banking or financial services.  Candidates with more extensive relevant experience may be considered for the position of Compliance Manager.

• Good understanding of Hong Kong regulatory requirements, including SFC licensing and ongoing regulatory obligations.

• Experience in employee compliance, central compliance, corporate compliance, regulatory reporting, compliance monitoring or similar control activities.

• Experience preparing management information, committee materials, regulatory updates or compliance reporting for senior stakeholders.

• Strong written and verbal communication skills in English and Chinese, including written Chinese and spoken Cantonese and/or Mandarin.

• Good working knowledge of Microsoft Excel, PowerPoint, Word and Outlook.

• Ability to manage recurring compliance processes while also supporting ad-hoc projects and senior stakeholder requests.

The knowledge, experience and qualifications that will help

• Asset management compliance experience.

• Experience working in a global or regional compliance team.

• Experience dealing with Group Compliance teams, senior management, or regulated entity governance forums.

• Familiarity with SFC licensing processes, regulatory filings, employee compliance systems or compliance monitoring tools.

• Knowledge of Central Compliance frameworks, including employee compliance, policies, governance, regulatory reporting and compliance assurance.

• Experience in leveraging automation, AI-assisted tools or workflow technologies to improve compliance processes, monitoring, reporting or knowledge management would be an advantage.

• Additional Asian language skills, such as Japanese or Korean, would be an advantage.

What you’ll be like

• Proactive, practical and solutions-oriented, with sound judgement and attention to detail.

• Confident communicating with senior management, regional stakeholders and Group colleagues, including colleagues based in London.

• Able to build strong working relationships with the line manager, local Compliance leadership, business stakeholders and other control functions.

• Clear and concise in written and verbal communication, with the ability to explain compliance requirements in a practical and proportionate way.

• Comfortable working in English and Chinese in a Hong Kong and regional business environment.

• Open to using technology and AI responsibly to support more efficient, accurate and effective compliance delivery.

• Comfortable working independently, prioritising tasks and managing deadlines across multiple workstreams.

• Able to support both local Hong Kong requirements and broader Group Central Compliance initiatives.

• Collaborative and consultative, with a “can-do” attitude and willingness to contribute across team boundaries.

• Organised and reliable, with the ability to maintain good governance, documentation and follow-through.

• Analytical and curious, with the ability to identify issues, propose improvements and support continuous enhancement of compliance processes.

• Professional, mature and credible, with the confidence to engage with senior stakeholders while remaining collaborative and approachable.

We’re looking for the best, whoever they are

Schroders is an equal opportunities employer. You’re welcome here whatever your background, and we value diversity, inclusion and different perspective