Senior Compliance Analyst

Job Description

Who we are

Aberdeen Investments is part of Aberdeen Group plc, one of the UK’s leading Wealth & Investments groups.

Strengthening talent and culture is one of our strategic priorities. We strive to make Aberdeen a great place to work so that we can attract and retain the industry’s best talent.

Our people put our stakeholders at the heart of everything they do by helping us to make a positive difference to the lives of our clients, customers, colleagues, shareholders and society.

We are repositioning our specialist asset management business to meet client demand and are committed to providing excellent client service, supported by leading technology and talent.

As a global business, Aberdeen consists of three divisions: Investments, Adviser, and interactive investor (ii). Each division is dedicated to meeting and adapting to our clients' evolving needs.

Our Asia Pacific Investments business has a large, dedicated and highly experienced investment team which has been investing across the region since 1985, and manages all our Asian products, including regional, country, smaller companies, and sustainable investing propositions.

The team has a strong regional footprint with offices in Singapore, Bangkok, Kuala Lumpur, Tokyo, Hong Kong, Shanghai, Seoul, and Sydney. This breadth gives us close proximity to the companies we own and the markets we invest in. Our APAC operations have been based in Singapore since 1992. We invest in Asian companies to grow with them and to help them to become better investors

Role Overview
The Senior Compliance Analyst reports to the Head of Compliance – Hong Kong, and supports the Hong Kong Compliance team by delivering a risk-based compliance programme, providing regulatory advice to business stakeholders, and maintaining effective compliance processes and controls. 
The role partners closely with internal teams (including Distribution, Product, Operations, and Risk) and external stakeholders (e.g. regulators, auditors, and clients) to ensure the firm meets its regulatory obligations across Hong Kong and relevant cross-border activities across Greater China.

Key Responsibilities
Compliance Monitoring & Oversight
•    Deliver monitoring reviews end-to-end in accordance with the risk-based monitoring plan
•    Contribute to the design and enhancement of the compliance monitoring programme
•    Identify control gaps and track remediation actions
•    Support monitoring and oversight planning, including risk assessments and thematic reviews

Advisory & Regulatory Guidance
•    Provide compliance advice on SFC and cross-border regulatory requirements
•    Review marketing materials and distribution activities
•    Support regulatory impact assessments
•    Deliver or coordinate compliance training

Core Compliance Processes
•    Perform tasks relating to licensing, CPT, PA dealing, gifts & hospitality
•    Maintain compliance registers, policies, and procedures
•    Support policy updates
•    Perform AML second line oversight activities

Regulatory Engagement & External Coordination
•    Support regulatory inspections and audits
•    Regulatory filings to the SFC
•    Respond to regulatory and external stakeholder queries
•    Represent Compliance in relevant forums

Projects, Change & Continuous Improvement
•    Track regulatory developments and impact analysis
•    Support or lead compliance projects
•    Drive continuous improvement initiatives

Reporting
•    Prepare compliance reports and governance materials
•    Ensure timely reporting deliverables

Qualifications & Experience
•    2 to 4 years of experience in compliance within asset management or financial services
•    Strong knowledge of Hong Kong SFC regulations and cross-border requirements
•    Understanding of compliance monitoring and control testing
•    Ability to interpret regulations and provide practical guidance
•    Strong organisational and communication skills
•    Relevant degree or professional qualification