Job ref no.: CT3118690-01#2650

Assistant Manager, Compliance - Securities Brokerage

Asia Progress Executive Limited

Our client is Securities Firm (港資證券行)To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team


Asst Manager, Compliance - Securities Brokerage 



  • Update compliance policies and procedures and coordinate with business units to ensure due compliance with regulatory requirements;
  • Perform surveillance exercise on internal controls and compliance procedures to ensure full adherence with internal policies and external regulatory requirements;
  • Assist in handling licensing related matters, CPT activities and dealing with regulatory bodies, including SFC and HKEx, etc;
  • Assist in monitoring staff dealing activities and maintaining the Group’s restricted list and watch list;
  • Involve in company secretarial duties and record keeping for Group’s subsidiaries and associated entities; &
  • File and monitor Disclosure of Interest notification in compliance with HKEx rules;
  • Assist in Funds setting up works by coordination with lawyers, bankers and fund administrator;
  • Handle ad hoc duties as assigned by team head from time to time 



  • Degree in Law, Accounting; or related disciplines preferred;
  • Minimum 3-5 years relevant experience in Securities brokerage house, /or asset management house 
  • must SFC regulatory / CPT activitives 
  • Possess some basic knowledge of investment funds set up would be advantageous but not a must;
  • Good command of both written and spoken English and Chinese, including Putonghua; &
  • Hard working, self-motivated, independent and good sense of responsibility, good interpersonal skills.


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More job information
Job ref no. CT3118690-01#2650
  • N/A
Job Function
  • Central
  • Western District
Employment Term
  • Full-time
  • 3 years - 5 years
Career Level
  • Middle management level
  • Degree