Job ref no.: CT/L&C/CM
Haitong International Securities Group Limited

Senior Compliance Manager/ Manger - Asset Management

Haitong International Securities Group Limited

  • 5-day week
  • Discretionary bonus
  • Medical plan

The Job :

  • Identify and evaluate compliance risks of the operations and business activities of Asset Management, provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulations
  • Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements
  • Partner with other Compliance and Legal teams on assessing and measuring compliance and related risks, and developing common standards and practices.
  • Conduct monitoring activities including desk reviews and thematic reviews wherever appropriate for compliance with regulatory requirements
  • Draft, revise, update and maintain Compliance policies and manuals of the business units as necessary on ongoing basis
  • Review, enhance and develop the compliance programs, procedures and guidelines for the respective business unit
  • Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
  • Deliver in-house compliance training to the business unit and advice to the management


  • Degree holder of Laws, Finance or other related disciplines
  • At least 5-7 years’ relevant compliance experience in Asset Management
  • With exposure in any of the following investment products: Exchange Traded Funds, Fixed Income Investment products, Securities Market Maker and MPF Schemes is critical
  • Good command of written and spoken English and Chinese including Putonghua

Application Method:

We are committed to build a team of competent individuals who have acquired solid relevant local working experience and with diversified exposure to work together with us.  Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful.

We provide attractive remuneration package and fringe benefits for the right candidates. Interested parties please send detailed resume with current and expected salaries to Human Resources Department i) by mail: 22/F, Li Po Chun Chambers, 189 Des Voeux Road Central, HK; ii) by fax: 2537 5431; or iii) by using Apply Now.

Please quote the reference in the application.  If application is submitted in hard copy format, it should be placed in a sealed envelope marked “Confidential".  All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only.  A copy of our Personal Information Collection Statement will be available upon request.

More job information
Job ref no. CT/L&C/CM (CT3116256-01#0013)
  • N/A
Job Function
  • Sheung Wan
Employment Term
  • Permanent
  • Full-time
  • 5 years - 7 years
Career Level
  • Middle management level
  • Degree