Job ref no.: CT3118690-01#6679

Sales and Trading, Compliance Manager - Securities Brokerage

Asia Progress Executive Limited

Our client is a PRC Securities Brokerage. To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team


Compliance Manager, Sales and Trading - Securities Brokerage 



  • Provide advice on sales and trading business activities (both institutional and retail) to ensure compliance with relevant rules and regulations in daily operations and new business initiatives
  • To enforce the best market practice within the sales and trading business activities
  • To implement internal policies and procedures to ensure business activities comply with the relevant rules and regulations
  • To identify, resolve and escalate compliance risk on a timely manner
  • To handle matters on KYC and AML, to implement controls over KYC and AML in order to comply with all relevant rules and regulations and market’s best practice
  • To perform daily surveillance over business activities and perform any investigation if necessary



  • Degree holder in business related discipline
  • Minimum 7 years of compliance experience in sales and trading area in Securities Brokerage /Securities Business 
  • Prior working experience in SFC is an advantage
  • Familiar with the market practice in sales and trading business and AML
  • Familiar with using trade surveillance system and transaction monitoring system
  • Proficiency in written and spoken Mandarin, English and Cantonese
  • Excellent knowledge relevant rules and regulations of the SFC and HKEx
  • Good interpersonal and communication skills
  • Strong analytical skills and able to work independently


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More job information
Job ref no. CT3118690-01#6679
  • N/A
Job Function
Employment Term
  • Full-time
  • 7 years - 12 years
Career Level
  • Middle management level
  • Degree