Compliance Manager / Assistant Manager (Securities House) (360k - 600k per annual)

Job Title: Compliance Manager / Assistant Manager (Securities House) (360k - 600k per annual)
Contract Type: Permanent
Location: Hong Kong
Reference: VC171222 - 002
Contact Name: Vince Chui
Contact Email:
Job Published: December 27, 2017 10:04

Job Description

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


Job Responsibilities: 

  • Direct reporting to the top management of the Group Companies 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
  • Responding to all compliance matters within the Group Companies and the external parties.
  • Review policies, procedures, marketing materials and customer correspondence


 Job Requirements:


  • Minimum of 3-5 years of securities firm experience or relevant financial institutions
  • Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements
  • Able to communicate in English, Cantonese and Mandarin
  • Available immediately is a plus


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

Click "APPLY NOW" or 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.