Job ref no.: CT3128012-01#9469

Associate, Product Compliance (Ref: C/APC/02-21)

Shenwan Hongyuan Securities (H.K.) Limited

Duties & Responsibilities :

  • Join in the product compliance team covering fixed income, currency, credit and structured products;
  • Provide advisory live to the ICG/Asset Management Division's projects on compliance, regulatory, and policy issues, as well as on new business initiatives and significant  business changes affecting the firm;
  • Ensure that appropriate policies and procedures are in place for the ICG Division with a focus on the derivatives and structured products business ;
  • Oversee related compliance issues of investment products managed by Asset Management Division including authorized/privated funds and (R) QFII Products. 


  • Degree holder or above;
  • Minimum 5 years of financial service industry with compliance or related experience;
  • Has solid knowledge of investment products including fixed, derivatives and structured products;
  • Strong knowledge of regulatory requirements such as SFO, FMCC and circulars etc;
  • Good Command of both Chinese and English (including spoken Mandarin). 

We offer attractive remuneration package and fringe benefits including 5-day week to the right candidate.  Interested parties please send your application letter with resume stating present and expected salary to Human Resources Department, Level 17, 28 Hennessy Road, Hong Kong or e-mail to us . (Please quote the reference of the post on the envelope)


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More job information
Job ref no. CT3128012-01#9469
Job Function
  • Admiralty
Employment Term
  • Permanent
  • Full-time
  • 4 years
Career Level
  • Middle management level
  • Degree
  • 5-day week
  • Discretionary bonus
  • Medical plan