Job ref no.: CT3121062-01#7822

Compliance Manager

Regal Executives Limited

  • 5-day week
  • Discretionary bonus

Our clients, a Top-tier PRC Financial Institute with SFC licenses is currently looking for a Compliance Manager to join their expanding team.


  • Cover Asset Management, Brokerage and/or Corporate Finance business;
  • Responsible for compliance reviewing on investment products;
  • Provide advisory services to business units on compliance and legal related matters;
  • Liaise with SFC and other regulators;
  • Responsible for all licenses application;
  • Update operating manuals and ensure the processes are in compliance with regulatory guidelines and internal policies;
  • Drafting and managing the roll out of compliance policies, procedures, guidelines and any associated training requirements.


  • At least 3-5 years of compliance experience in Banking & Finance Industry, Extensive knowledge of financial service regulatory and licensing requirements;
  • Good Command of Chinese and English (including Putonghua);
  • A strong team player with excellent inter-personal and communication skills.
  • Candidates with less experience will be considered as Officer;

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More job information
Job ref no. CT3121062-01#7822
  • N/A
Job Function
Employment Term
  • Full-time
  • 3 years - 5 years
Career Level
  • Middle management level
  • Degree