Job ref no.: CT3126124-01#0881

1st Tier Brokerage Firm - AML Compliance Manager/Senior Manager

Gravitas Recruitment Group


  • Reporting directly into the Regional Head; supporting senior management and regional head on AML/FCC related tasks and enquiries
  • Working closely with different lines of businesses providing AML advisory support
  • Ensure the firm and front line business are complied with internal and external AML regulatory requirements
  • Lead and participate in AML compliance projects; maintain & enhance existing platforms and services
  • Facilitate client onboarding process, business initiatives and enhancing firm wide AML controls
  • Identify and investigate into unusual/suspicious transactions
  • Supporting junior staffs in the team



  • Minimum 8 years of AML/FCC/Compliance experience in the Financial Services industry
  • Experience in retail brokerage compliance is a MUST
  • Sound knowledge of securities laws, rules and regulations
  • All rounded exposure in AML/FCC compliance
  • Background in Chinese Securities Brokerage will be an advantage
  • Fluent in English, Cantonese and Mandarin


Our client offers excellent remuneration package to the right candidate. Interested parties please kindly reach out to Eunice Lee at 3907 0744 for a confidential discussion

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More job information
Job ref no. CT3126124-01#0881
Job Function
Employment Term
  • Permanent
  • Full-time
  • 8 years - 13 years
Career Level
  • Middle management level
  • Degree