Compliance Manager, Leading Securities Firm

Our client is an integrated HKEX-listed financial services group which offers a comprehensive range of asset management and securities brokerage products and investment advisory services.
  • Room for rapid career advancement
  •   Report to the Head of Compliance
  • Centrally-located office

Working as Compliance Manager, the successful candidate will assist in reviewing and updating compliance policies, procedures and best practices for different business units; Keeping up-to-date with relevant regulatory changes including the analysis and implementation of such changes; handling regulatory enquiries and preparing regulatory and internal/external compliance reports; implementing compliance training programs; and providing overall enterprise-wide compliance support.

The ideal candidate will hold a degree in law or a compliance-related field and have at least 4 years of relevant compliance experience with experience in the securities industry and knowledge of SFC Type 1 or 9 license.   He/she must be proactive with good interpersonal skills and communication skills.  Good command of written & spoken English and Chinese (Cantonese and Putonghua) is required for this position.

If you are interested in finding out more about this career opportunity, please email your resume to Erica Wong, Tel: (852) 3151 1300 Web:

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