Compliance Manager

Job Title: Compliance Manager
Contract Type: Permanent
Location: Hong Kong
Reference: JW-190301-3
Contact Name: Justin Wan
Contact Email:
Job Published: March 04, 2019 10:55

Job Description

Compliance Manager, Control Room (Japanese Securities firm)

 We are looking for a Compliance Manager for our client as below. 



  • Support in strengthen the administration of control room function;

  • Handle MNPI/COI/Firewall reporting from business units;

  • Provide relevant compliance advice to business and functional units;

  • Manage the internal enforcement of Japanese related regulations including MNPI, COI and Firewall for monitoring purpose;

  • Maintain and monitor the restricted lists;

  • Handle wall crossing applications; Handle staff dealing matter and perform regular checking;

  • Communicate with overseas office regarding MNPI/COI/Firewall matters in group-wide basis

  • Review, update or comment on internal policies, manuals and procedures to ensure they comply with the local regulatory requirements;

  • Responsible for compliance reviews, and performs ongoing monitoring of procedures, ensuring that regulations and company policies are adhered to;

  • Assist to review research reports/ commentaries from a regulatory perspective;

  • Assist in ad-hoc projects as assigned



  • University degree preferably in law, economics, finance, accounting or related disciplines;

  • As least 5 years of solid and relevant Compliance/control room experience in Finance or Banking industries;

  • Robust and solid understanding on relevant rules and regulations, including SFC’s Code of Conducts, relevant circulars and the industry practices applicable to Hong Kong licensed corporations on managing conflict of interest and internal controls in general;

  • Good interpersonal and customer service skills facing internal stakeholders.

  • Proficient in spoken and written English and Chinese (including Putonghua)

  • Proficient in Microsoft Office (Words, Excel, PowerPoint, Outlook)

  • Understanding on the Firewall regulation concept and familiar with Hong Kong regulatory issues and development is a plus.


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.