Job ref no.: CT3115481-01#0004

Compliance Manager

VC Services Ltd

  • Competitive pay


  • Handle all Group’s compliance related matters and provide advisory support to senior management 
  • Handle regulatory licensing matters on Type 1 + 4, Type 2 + 5, Type 6 and Type 9 regulated activities (e.g. notifications, and annual returns etc); and Money Lenders (e.g. notification, and annual licence renewal)
  • Responsible for the Group’s AML/CTF function 
  • Handle inquiries and investigation from the SFC, HKEx, and other regulators
  • Liaise with other departments to comply with the due diligence requirements relating to FATCA and CRS etc. and perform the reporting obligation
  • Maintain and review compliance related policies, procedures, control system and so as to ensure the licensed activities are in compliance with all applicable laws and regulatory requirements
  • Monitor the findings of the regular compliance tests and take related action if necessary
  • Co-ordinate with external parties for compliance and AML/CFT training annually


  • Degree in Law, Economic, Finance, Accounting or related disciplines
  • Minimum 7 years’ compliance related experience
  • Direct exposure to securities dealing / brokerage business is highly desirable
  • Good knowledge of Listing Rules, SFO requirements and other compliance regulations
  • Good command of written and spoken English and Chinese (including Mandarin)
  • Proficiency in MS office
  • Good analytical, interpersonal and presentation skills
  • Self-initiative, independent and willing to work under pressure
  • Immediate available is highly preferred 

Interested candidates please send us resume with expected and present salary to Human Resources Department via Email: [via CTgoodjobs Apply Now ]

(All personal information received will be kept in strictly confidential and only for recruitment purpose only.)


More job information
Job ref no. CT3115481-01#0004
  • N/A
Job Function
Employment Term
  • Permanent
  • Full-time
  • 7 years
Career Level
  • Middle management level
  • Degree