Compliance Manger

Job Title: Compliance Manger
Contract Type: Permanent
Location: Hong Kong
Reference: JW-190506-1
Contact Name: Justin Wan
Contact Email:
Job Published: May 17, 2019 10:23

Job Description

Compliance Manger (Banking Control Room)


Our client, a reputable Bank, now is looking for a Compliance Manger who will work in 

Central Compliance Department



  • Responsible for day to day 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

  • Handle the process for employee dealings, approving request, monitoring on employee dealing activities as required

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

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

  • To keep up to date existing and new regulatory requirements

  • Take ad-hoc compliance related projects



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

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

  • Good understanding of the current regulatory environment and financial markets and securities regulations and rules

  • Strong analytical and detailed oriented with good initiative and able to work independently

  • Good command 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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