Job ref no.: CT3118690-01#2602

Senior Associate V SFC Regulatory Compliance $25K-35K permonth

Asia Progress Executive Limited

Our client is a PRC Investment Banking .  specializes in ECM ,DCM advisory M&A, Equities area.  To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team



 Senior Associate – SFC Regulatory Compliance $25K-35K permonth 



  • Liaise with SFC about the license applications and answer all enquiries from SFC about different types of applications
  • Implement the new compliance regular tasks by liaising with different departments
  • Develop and implement the new compliance checking to satisfy the fast growth of the business
  • Monitor the trading patterns of the targeted SFC license representatives
  • Response to the enquiry of the clients
  • Responsible for documentation and development of the compliance trail
  • Identify, pursue and generate new potential compliance risks
  • Familiar with SFC regulatory 



  • Bachelor's degree in Accounting, Economics, Finance or Law
  • At least 3 years of compliance  experience in Securities companies or IBank ,( Type 1,4,6.9) 
  • Good presentation and demonstration skills, and the ability to manage multiple projects and details simultaneously
  • SFC License experience ( type 1,4,9) perform answer SFC 181,182,183 and 179 Enquiry 
  • Hands on compliance review experience in brokerage, AML, staff dealings
  • ACCA/HKICPA qualification preferred
  • Work independently
  • Good communications skill with fluency in Mandarin and English



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More job information
Job ref no. CT3118690-01#2602
  • N/A
Job Function
  • Central
Employment Term
  • Full-time
  • 3 years - 8 years
Career Level
  • Middle management level
  • Degree