Job ref no.: CT/L&C/CM
Haitong International Securities Group Limited

Compliance Manager V Regional

Haitong International Securities Group Limited

  • 5-day week
  • Discretionary bonus
  • Medical plan

The Job :

  • Lead and work closely with local compliance representatives in overseas offices on monitoring and managing the compliance risks of the operations and business activities of overseas offices such as US, UK, Singapore, Japan, India, etc
  • Interact and liaise with all local and overseas stakeholders including business lines, operations and compliance departments
  • Being the primary contact for all the compliance related issues for overseas offices
  • Provide day to day monitoring and ensure the business units of overseas office in compliance with the local law, rules and regulations as well as following the Group Compliance policies
  • Responsible for ad-hoc projects/assignments for our overseas offices


  • Degree holder of Laws, Finance or other related disciplines
  • 5 years’ relevant compliance experience gained in financial institutions, with regional exposure in US and /or UK is highly preferred
  • Knowledgeable about rules and regulatory requirements in financial industries of overseas markets, e.g. UK and/or US.
  • Good PC knowledge in MS Word, Excel and Powerpoint
  • Self-motivated, independent and able to communicate effectively at all levels
  • A native English speaker, proficient in written and/or spoken Chinese is a plus

Application Method:

We are committed to build a team of competent individuals who have acquired solid relevant local working experience and with diversified exposure to work together with us.  Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful.

We provide attractive remuneration package and fringe benefits for the right candidates. Interested parties please send detailed resume with current and expected salaries to Human Resources Department i) by mail: 22/F, Li Po Chun Chambers, 189 Des Voeux Road Central, HK; ii) by fax: 2537 5431; or iii) by using Apply Now.

Please quote the reference in the application.  If application is submitted in hard copy format, it should be placed in a sealed envelope marked “Confidential".  All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only.  A copy of our Personal Information Collection Statement will be available upon request.

More job information
Job ref no. CT/L&C/CM (CT3116256-01#0034)
  • N/A
Job Function
  • Sheung Wan
Employment Term
  • Permanent
  • Full-time
  • 5 years - 7 years
Career Level
  • Middle management level
  • Degree