Job ref no.: CT3128429-01#0338
RecruitFirst Limited

Business Compliance Manager (ECM/DCM/Fintech/Capital Market)

RecruitFirst Limited

Business Compliance Manager (ECM/DCM/Fintech/Capital Market)

Our client, a fast-growing Financial Institution with SFC License Type 1, 2, 4, 5 & 9 is looking for a high caliber to join the team due to business expansion.


  • Review and provide advice on compliance policies and procedures in Equity Capital Market / Debt Capital Market businesses
  • Liaise with SFC and regulatory bodies and handle their queries, inspection and investigation related requests
  • Handle compliance related matters arising from day-to-day business operations;
  • Advise and closely work with relevant stakeholders to ensure appropriate and effective regulatory compliance guidance and control


  • Degree holder in Law, Accounting or related disciplines
  • 5+ years or above relevant experience in SFC licensed corporation e.g. securities company is an advantage
  • Solid knowledge in Investment Bank/Capital Market business
  • Proficient in spoken and written Cantonese, English and Mandarin

Interested parties, please apply with updated current salary and expected salary. Only shortlisted candidates will be contacted.


More job information
Job ref no. CT3128429-01#0338
  • 55,000 - 70,000 / month
Job Function
  • Sheung Wan
Employment Term
  • Permanent
  • Full-time
  • 5 years - 7 years
Career Level
  • Middle management level
  • Degree
  • 5-day week
  • Additional subsidies
  • Compassionate leave
  • Competitive pay
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan
  • PRC holidays
  • Year-end bonus
  • … + 5 more