Securities Compliance Manager (3-5 years Exp) *short notice preferred

Job Title: Securities Compliance Manager (3-5 years Exp) *short notice preferred
Contract Type: Permanent
Location: Hong Kong
Reference: GL180105-1
Contact Name: Grace Liu
Contact Email:
Job Published: January 31, 2018 11:01

Job Description

Our Client, a leading Securities firm is urgently looking for a hands-on Compliance Manager.


  • Maintain active dialogues with regulatory authorities and promptly provide information as requested
  • Handling licensing matters & Preparing the filling to SFC & relevant regulatory authorities
  • Conduct compliance monitoring reviews on standard business activities, functions and practices to ensure compliance with regulations and policies
  • Establish and develop effective internal compliance policies and procedures on any new regulatory requirements and business activities 
  • Correspond with customers on compliance issues, such as Client Complaints, Trade Audits, FX License registration and examinations
  • Coordinate and provide AML & CPT compliance training to in-house staff
  • Carry out investigation in relation to compliance-related complaints
  • Handle ad hoc projects


  • University graduate with degree in Law,accounting or related discipline
  • Minimum 3 year experience in compliance
  • Independent, Strong legal documentation reviewing skills with good practical judgment
  • Excellent communication in Chinese and English

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.