Compliance Manager

Job Title: Compliance Manager
Contract Type: Permanent
Location: Hong Kong
Reference: JW-190227-1
Contact Name: Justin Wan
Contact Email:
Job Published: February 27, 2019 11:03

Job Description

Compliance Manager - Control Room (Banking)


We are looking for a high caliber Compliance Manager who will work in Central Compliance Department for our client, a reputable bank.



  • Responsible for daily efficient operation of the Control Room, including but not limited to develop, maintenance and update of control room operating process, procedural manual, wall-crossing, maintenance of Watchlist, etc

  • In charge of the process for employee dealings, approving request, monitoring on employee dealing activities as required

  • Assess and approve Wall-crossing requests from business units and maintain up to date insider lists

  • Coordinate and communicate with Legal and other Compliance teams on all control room matters

  • Keep updating of existing and new regulatory requirements

  • To take ad-hoc compliance related projects



  • University graduate in Banking, Business Administration, Finance or related majors

  • Minimum of 3 years' working experience in the Control Room and related compliance matters

  • Thorough understanding of the current regulatory environment and financial markets as well as securities regulations

  • A team player with good communication skills and risk awareness as well as strong analysis skill and detailed oriented with good initiative

  • Able to exercise judgment and liaise effectively with the Business Units

  • Proficient in both spoken and written English and Chinese, including Putonghua


Interested candidates, please kindly send your detailed resume including:

1) Current and expected salary

2) Availability

 3) Reason for leaving current and past employments

directly to: and


Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.

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