Job ref no.: CT3130423-01#0007
Guotai Junan International Holdings Limited

Manager/Assistant Manager, Central Compliance

Guotai Junan International Holdings Limited


  • Provide support in handling enquires from regulators on trade-related enquiries, demand for information and investigation related requests;
  • Handle statutory reporting required under the Securities and Futures Ordinance including Disclosure of Interests, Short Position Reporting and Large Open Position Reporting;
  • Handle license application and maintenance;
  • Handle staff dealing and outside appointment related matters;
  • Handle periodical reports to the parent company; and
  • Assist the team in handling compliance related matters arising from day-to-day business operations.


  • University degree holder in Business, Finance or related discipline;
  • Minimum 3 years’ compliance exposure in dealing with enquiries from regulators on enforcement, intermediaries supervision and licensing issues is an advantage;
  • Sound knowledge in SFC regulations and practices is an advantage;
  • Good knowledge in Microsoft Office; and
  • Proficiency in both written and spoken English and Chinese, fluency in Putonghua is a must. 

We offer an attractive remuneration package to the right candidate. Interested parties please forward your full resume with availability, expected salary to [via CTgoodjobs Apply Now ] or send it to 27/F., Low Block, Grand Millennium Plaza, 181 Queen’s Road, Central, Hong Kong.

(Data collected will be kept strictly confidential and used for recruitment purpose only.)

More job information
Job ref no. CT3130423-01#0007
Job Function
  • Central
  • Western District
Employment Term
  • Permanent
  • Full-time
  • 3 years - 8 years
Career Level
  • Middle management level
  • Degree
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan