Job ref no.: CT3115413-01#1871

Senior Compliance Manager / Compliance Manager

China Tian Yuan Manganese Finance (Holdings) Limited

  • 5-day week
  • Discretionary bonus
  • Medical plan


  • Handle SFC licensing matters;
  • Update compliance policies and procedures, and information on regulatory requirements;
  • Liaise with regulatory authorities;
  • Perform surveillance for trading activities; Involve in new products launching procedure, providing day-to-day compliance advice to different business lines
  • Review and approve client AML/ KYC / due diligence reports
  • Oversee the AML/ KYC process
  • Perform central compliance functions (conduct staff training / CPT monitoring / reporting functions, etc.)
  • Perform other ad-hoc projects and assignments as required


  • Degree in Accountancy/ Finance/ Law and related subjects is preferred;
  • Min 2 years compliance experience, preferably in brokerage house
  • Familiar with the Securities and Futures Ordinance, SFC rules and regulations
  • Good command of written and spoken English, Cantonese and Mandarin 

We offer competitive remuneration packages to the right candidate. Interested parties please send your resume with Current & Expected Salary and the Available Date by clicking Apply Now.

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More job information
Job ref no. CT3115413-01#1871
  • N/A
Job Function
  • Wanchai
Employment Term
  • Permanent
  • Full-time
  • 2 years - 7 years
Career Level
  • Middle management level
  • Degree