Job ref no.: CT3130312-01#3277

Compliance Manager - Securities Brokerage

Asia Progress Executive Limited

Our client is Securities Brokerage  To cope with the rapid business expansion , they are now inviting high caliber candidates to join the team.

Compliance Manager - Securities Brokerage 


  • To establish, implement and monitor compliance policies, procedures and standards of Hong Kong operations
  • Provides consultation to local, overseas and China offices on SFO regulatory and compliance issues
  • To ensure that daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets
  • To handle enquiries from Regulators
  • Perform and review regular compliance checking
  • Organize/provide CPT training to SFC license holders
  • Assists Department Head to supervise team members


  • Degree holder in Law, Finance, Accounting, Business or related discipline(s).
  • Minimum 5 years' solid relevant experience in securities brokerage firm or fund house or investment bank or sizable financial institutional
  • 3 years’ experience in CPA firm preferred
  • Familiar with SFO and HKEX rules in securities, futures and corporate finance as well as the operations, products and services in licensed corporations.
  • A good team player, quick learner, self-motivated, strong sense of responsibility and discipline with good communication skills
  • Good command of written and spoken English and Mandarin

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More job information
Job ref no. CT3130312-01#3277
Job Function
Employment Term
  • Full-time
  • 5 years
Career Level
  • Senior management level
  • Degree