Job - Compliance Manager, Southwest Securities (HK) Financial Management Limited
Southwest Securities (HK) Financial Management Limited

We are a subsidiary of Southwest Securities International Securities Limited (Stock Code: 812), a listed financial group engaged mainly in securities, futures, wealth management, corporate finance and insurance activities. We are expanding and inviting high caliber candidates to join our Company.

Compliance Manager

Job Ref.CT/L&C-CM/201602


  • Keep abreast of the latest development of regulations to ensure compliance with the law, regulations and rules;
  • Maintain the daily work contact with the supervisory authorities; following and evaluating the fulfillment status of the supervisory opinions and requirements; coordinating with different departments of the Company to ensure compliance with regulators’ request; managing regulatory exams, self-assessments and surveys with the local regulatory authorities e.g. SFC, CIB, PIPA and etc;
  • Promulgate and implement compliance management plans, including implementation and evaluation of specific policies and procedures, evaluation of compliance risks, test for compliance and training and education of compliance;
  • Conduct on-going checking and monitoring for various banking activities including staff dealing, regulated activities and credit related products;
  • Maintain the Company’s database related to AML, conduct AML on-site compliance checking and assessment on Suspicious Transaction Reports (STRs);
  • Review the compliance of Company’s various policies, procedures and guidelines, assist each business line and internal control team to systemize and amend such policies, procedures and guidelines in order to ensure the said policies are in accordance with the requirements of laws, regulations and rules;
  • Deliver compliance training to employees;
  • Participate in ad hoc projects as assigned.


  • Degree holder in Business, law, accounting or related disciplines;
  • Minimum 4 years of compliance experience;
  • Possess strong knowledge in securities laws and operations as well as the different products and services offered by the Company;
  • Self-motivated, customer-centric and able to work under pressure;
  • Excellent interpersonal, relationship management and communication skills;
  • Proficiency in MS Office applications including Chinese word processing;
  • Excellent command of spoken and written English and Chinese, including Putonghua.

We adopt a 5-day work week and offer an attractive remuneration package to the right candidate. Interested parties please send both of your Chinese & English resume with current and expected salary to the Human Resources Department at Suite 1601,06-08, 16/F, Central Plaza, 18 Harbour Road, Wanchai, Hong Kong or e-mail to

Apply Now
Job Ref No.
CT/L&C-CM/201602 (CT3103790-01#0125)
Goodjobs Tips!
Remember to quote the job title and reference number in the email subject. This allows employers to find and refer to your application more easily.
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan
Employment Term
Tips by CTgoodjobs: Tips to avoid employment traps: verify company information, and look out for jobs ads that offer unreasonable salary or has a remote interview venue.
Leave immediately and report to CTgoodjobs if you encounter any inappropriate behaviour.
More tips to avoid employment traps