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Compliance Manager


Job ref.:

13 Dec 2022


Hong Kong




The client:

  • A market leading financial service company

What can the client offer?

  • Valuable experience from a market leader with excellent career path

  • Stable environment for long term career development

What are your responsibilities?

  • Provide advice to business units on regulatory interpretation and compliance issues in the coverage area

  • Participate in the update of compliance manuals of procedures in light of regulatory or business changes

  • Handle regulatory enquiries and manage relationship with regulators

  • Conduct monitoring to assess business’s ongoing compliance with key compliance requirements

  • Implement compliance policy and review program covering equities and futures businesses

What skills/ qualification will you need?

  • Degree holder in accounting, finance, LLB, risk management or other related disciplines

  • At least 5 years of related working experience in financial industry holding SFC type 1, 2, 4, 5 regulated activities

  • Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements

  • Good command of written and spoken English and Chinese, fluency in Putonghua

Who would be suitable for the position?

  • Excellent communication, analytical and problem-solving skills

  • Strong sense of responsibility, Independent, initiative & excellent communication skill

Apply here

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