Job ref no.: CT3128816-01#8926

Compliance Manager

CMBC Capital Holdings Limited

Job duties:

  1. Handling compliance area of business activities type 1,2,4,6,9
  2. Supervise licensing matters/KYC checks
  3. Perform compliance reviews and testing of regulatory and AML requirements
  4. Review and oversee client AML/ KYC / due diligence reports in account opening process
  5. Maintenance and implementation of firm policies and procedures
  6. Provide compliance advice and support business initiatives



  1. Bachelor degree in Law, Finance, Accounting or other related disciplines
  2. Minimum of 3 years relevant compliance experience in financial services industry (preferably in Chinese securities and asset management firms)
  3. Familiar with the SFC and HKEx rules and regulations and industry practices
  4. Experience and compliance knowledge (KYC/AML) in account opening process is a must
  5. Good command of written and spoken English and Chinese, fluent in Mandarin
  6. Candidate with more experience will be considered as Senior Manager / Deputy Head
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More job information
Job ref no. CT3128816-01#8926
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 3 years
Career Level
  • Middle management level
  • Degree
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan