Compliance Manager, securities firm

Job Title: Compliance Manager, securities firm
Contract Type: Permanent
Location: Central
Industry: Financial Services
Reference: 49083_1641953217
Contact Name: Jessie Chan
Contact Email:

Job Description

About Our Client

My client is a financial services with SFC type 1,4 and DTC license, aiming to apply type 9 license and they are looking for a compliance manager.

About The Role

  • Provide compliance advice to business and business support units on regulatory requirements and promotes compliance awareness within the company;
  • Monitor and keep abreast of all legal and regulatory requirements in Hong Kong as well as any changes thereof and liaise with officers of HKMA and SFC, internal and external counsels;
  • Plan and conduct regular audits and investigations to ensure the fulfilment of regulatory compliance with HKMA, Securities and Futures Ordinance and other relevant rules and regulations;
  • Report to Management directly;
  • Develop and implement an effective compliance training program, including appropriate introductory training for new employees and ongoing training for all employees;
  • Undertake ad hoc assignments or projects as required.


  • Degree holder or above in Accounting, Law or related disciplines;
  • 5 years' relevant experiences in financial services;
  • Knowledge on HKMA & SFC rules and regulations is a MUST;
  • Excellent presentation skills and strong in problem solving and analytical skills;
  • Proficient in both written and spoken English and Chinese;

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.