Job ref no.: CT3114738-01#0221

COMPLIANCE MANAGER V HK listed securities brokerage/asset management/banking/finance


  • 13-month pay
  • Discretionary bonus
  • Medical plan

Member of HK listed company - holding SFC Type 1 (Dealing in Securities) and Type 9 (Asset Management) regulated activities - we are currently focus in providing brokerage services and margin financings to clients for trading in securities listed in Hong Kong - we are now looking for a  COMPLIANCE MANAGER  - with details as follows :


  • University degree/qualifications 
  • Studies in Economics/Finance/Business/Risk Management related is a plus
  • Minimum 5 years compliance experience 
  • Excellent knowledge of rules and regulations relating to securities and futures brokerage, corporate finance and asset management business 
  • Able to identify problems and seek practical solutions 
  • Solid awareness of controls and governance 
  • Self-motivated, a team player and results orientated 
  • Businesslevel in English and Mandarin
  • Report to the CEO
  • In-charge of the company's and representative's license application, maintenance and reporting with SFC, CPT monitoring, ensure proper licensing with local regulators 
  • Promote compliance awareness across the businesses and design training on regulatory, compliance policies and procedures to company staffs 
  • Participate in the development & implementation of compliance controls included compliance checking, clearance of staff dealing, suspicious transaction reporting, maintenance of watch list/restricted list etc. 
  • Handling SFC and external enquiries
  • Other ad hoc projects related to compliance


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More job information
Job ref no. CT3114738-01#0221
  • N/A
Job Function
Employment Term
  • Permanent
  • Full-time
  • 5 years - 18 years
Career Level
  • Senior management level
  • Asso. Deg or High Dip
  • Degree
  • Master's degree