Job ref no.: CT3117352-01#7406

Senior Compliance Manager - Leading Securities Brokerage Firm

Gravitas Recruitment Group


  • Overseeing general and regulatory compliance functions
  • Handle regulators enquiries for any compliance related matters
  • Monitor and enhance compliance procedures and policies and ensure effective controls are in place
  • Work closely with internal stakeholders to maintain and uphold the compliance culture
  • Provide compliance advice to business
  • Ensure business and operations are complied with internal and external regulatory requirements


  • University degree holder
  • Minimum 5 years compliance experience in securities firms
  • Solid knowledge of SFC & HKEx regulations
  • Excellent command of Chinese and English
  • Self-motivated, independent and strong communication skills

Our client offers excellent remuneration package to the correct candidate. Interested parties please apply with full resume stating availability, current and expected salaries by clicking Apply Now to Eunice Lee at 3907 0744

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More job information
Job ref no. CT3117352-01#7406
  • N/A
Job Function
  • 5 years - 10 years
Career Level
  • Middle management level
  • Degree