Compliance Manager (SFC Type 1, 4, 6 and 9)

Job Title: Compliance Manager (SFC Type 1, 4, 6 and 9)
Contract Type: Permanent
Location: Hong Kong
Ref: VC180531 - 002
Contact Details: Vince Chui
Contact Email:
Published: 3 months ago

Our client is a SFC license corporation. They are looking for candidates to join them as a Compliance Manager.


Job Responsibilities: 

  • Direct reporting to the CEO in all kinds of corporate matters.
  • Provide day to day regulatory advice and guidance on rules and internal policies 
  • Provide regulatory compliance advice and support to business processes to ensure full compliance with regulatory requirements and group standards
  • Review policies, procedures, marketing materials and customer correspondence


 Job Requirements:


  • Minimum of 3-5 years of Securities/Asset Management experience or relevant financial institutions
  • Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements
  • Experience in handling some types of SFC Type 1, 4, 6 and 9 will also be considered.
  • Able to communicate in English, Cantonese and Mandarin


Interested candidates, kindly send your detailed resume including:
1) Current and expected salary
2) Availability

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