Compliance Manager

Bank & Finance

60,000 - 64,000 + bonuses + benefits

Central and Western

  • To attend to ongoing compliance requirements under the Companies Ordinance, Securities and Futures Ordinance and relevant subsidiary legislation and codes issued by the regulators for licensed persons;
  • To assist in handling license applications and providing advice on licensing issues;
  • To assist in reviewing and revising business plan for approval by regulators;
  • To assist in reviewing and revising compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes;
  • To keep abreast of, monitoring and analyzing developing trends and changes in regulatory compliance laws, rules and regulations, and advising clients of the operational impact of the operational impact of such trends and changes;
  • To assist in handling FATCA related matters.


Job Requirements


  • Degree holder;
  • Minimum 5 years relevant experience in financial institutions;
  • Solid experience in handling SFC license applications and compliance issues;
  • Experience in conducing on-site inspections will be an advantages;
  • Good command of both written and spoken English and Chinese (including fluency of Putonghua);
  • Self-motivated, well-organized and detail-minded;
  • Good at reading and following rules and regulations;
  • PC knowledge. Familiar with secondary market trading systems is preferred.

What’s on Offer:

  • An excellent career opportunity to grow with a fast growing Chinese Asset Management Group.
  • Very supportive and resourceful senior management
  • Excellent remuneration package with generous annual bonuses.

All information received will be used for recruitment purpose only.