Head of Hong Kong Compliance
Man Group · Hong Kong · 21d ago
About Man Group
Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our single and multi-manager investment strategies are underpinned by deep research and span public and private markets, across all major asset classes, with a significant focus on alternatives. Man Group takes a partnership approach to working with clients, establishing deep connections and creating tailored solutions to meet their investment goals and those of the millions of retirees and savers they represent.
Headquartered in London, we manage $253.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is a constituent of the FTSE 250 Index. Further information can be found at www.man.com
At Man Group, we respect your privacy and we are committed to protecting and safeguarding your Personal Data. We have developed policies and processes which are designed to provide for the security and integrity of your Personal Data. We are committed to Processing your Personal Data fairly and lawfully, and being open and transparent about such Processing. For further information on how we process your data, please see the privacy notice for applicants here.
* As at 30 June 2026
Purpose of the role:
To manage the compliance program at Man Hong Kong as well as other compliance related projects and initiatives.
Specific Responsibilities:
General:
- Accountable for all aspects of regulatory compliance affecting the business and operations relating to activities for the Hong Kong local entity (MIHK) to ensure objectives and ongoing dealings are achieved within a compliant manner in an evolving regulatory environment.
- Act as the principle point of contact and maintain good working relationship with all relevant Hong Kong regulators (SFC, HKMA, HKEX).
- Maintain an effective working relationship with senior management, board of directors and other internal/external stakeholders of MIHK.
- Collaborate with other APAC offices (Australia, China, and Japan) to share regulatory knowledge, ideas and experiences across the region to improve processes, policy or the controls environment.
- To challenge and enhance the existing processes and methods where appropriate.
- Act as the primary contact for MIHK across a broad range of Man stakeholders across APAC and globally.
Compliance:
- Work closely with the MIHK business which includes the Sales, portfolio management, trading, operational teams to provide appropriate compliance advice on regulations, licensing and products.
- Work closely with other regional Compliance teams, compliance consultants and lawyers and assist the firm with regulatory filings and presentations.
- Review and maintain MIHK local policies and compliance monitoring activities producing reporting to various stakeholders as required.
- Manage the APAC process for wall-crossing requests received from counterparties, following Man’s internal processes and procedures.
- Maintenance of the various Man restricted lists following Man’s internal processed and procedures.
- Drive the regulatory advocacy strategy (where applicable) with particular emphasis on Hong Kong SAR to senior management to support the business in identifying, assessing, and mitigating risks.
- Maintain an appropriate compliance culture in MIHK.
- Ensure that all regulatory filings and applications are up to date.
- Review marketing material, offer documents, and other communications which includes but is not limited to fund prospectus, RFPs, promotional materials, presentation materials, advertisements, factsheet, press releases, etc.
- Oversight of the issues management process to ensure that client complaints, risk and compliance incidents are captured, analyses, escalated as required, corrective action taken, and progress reported to applicable stakeholders.
- Provide appropriate advice to support the Group MLRO in all Hong Kong AML/CTF regulations and financial crime prevention activities.
- Review personal account dealing and other Code of Ethics related requests for MIHK employees in line with Group policy.
- Assist in ad-hoc compliance projects and initiatives as directed.
Technical Competencies:
- 6-8 years of compliance experience gained from a global asset management (i.e. buy-side) firm.
- Investment/trade compliance is “must,” especially:
- Knowledge of and dealing with short sell restrictions (US, JP, SK)
- Knowledge of and dealing with Wall Crossing and MNPI controls (US, JP, HK, AU, SK, CN, UK, EU)
- Standalone compliance experience would be an advantage
- Mainland (AMAC, CSRC) experience would also be an advantage
Inclusion, Work-Life Balance and Benefits at Man Group
You'll thrive in our working environment that champions equality of opportunity. Your unique perspective will contribute to our success, joining a workplace where inclusion is fundamental and deeply embedded in our culture and values. Through our external and internal initiatives, partnerships and programmes, you'll find opportunities to grow, develop your talents, and help foster an inclusive environment for all across our firm and industry. Learn more at www.man.com/diversity.
You'll have opportunities to make a difference through our charitable and global initiatives, while advancing your career through professional development, and with flexible working arrangements available too. Like all our people, you'll receive two annual 'Mankind' days of paid leave for community volunteering.
Our comprehensive benefits package includes competitive holiday entitlements, pension/401k, life and long-term disability coverage, group sick pay, enhanced parental leave and long-service leave. Depending on your location, you may also enjoy additional benefits such as private medical coverage, discounted gym membership options and pet insurance.
Equal Employment Opportunity Policy
Man Group provides equal employment opportunities to all applicants and all employees without regard to race, color, creed, national origin, ancestry, religion, disability, sex, gender identity and expression, marital status, sexual orientation, military or veteran status, age or any other legally protected category or status in accordance with applicable federal, state and local laws.
Man Group is a Disability Confident Committed employer; if you require help or information on reasonable adjustments as you apply for roles with us, please contact TalentAcquisition@man.com.