Compliance Manager, securities firm

Job Title: Compliance Manager, securities firm
Contract Type: Permanent
Location: Hong Kong
Salary: Negotiable
Reference: 47661_1630312491
Contact Name: Jessie Chan
Contact Email:
Job Published: August 30, 2021 16:34

Job Description

About Our Client

My client is a growing securities firm with SFC license type 1,2,4, 6 and 9 and they are looking for a compliance manager.

About The Role

  • Liaise with HKEX, SFC and other regulatory organizations for all compliance and licensing matters;
  • Plan and conduct regular audits and investigations to ensure the fulfilment of regulatory compliance with Securities and Futures Ordinance and other relevant rules and regulations;
  • Formulate and execute policies and procedures to perform risk management for the Company business;
  • Report to Management directly;
  • Keep abreast of updated regulations and provide advice to business departments on compliance related issues;
  • Undertake ad hoc assignments or projects as required.


  • Degree holder or above in Accounting, Law or related disciplines;
  • 5 years' relevant experiences in securities firms or related industries;
  • Knowledge on SFC & HKEX rules and regulations is a MUST;
  • Hardworking, responsible and mature;
  • Excellent presentation skills and strong in problem solving and analytical skills;
  • Proficient in both written and spoken English and Chinese, Mandarin is a plus;
  • Proficient in MS Office and Chinese typing.

Click "Apply Now" to apply for this position or call Jessie Chan at +852 3180 4945 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.