Senior Compliance Manager

Job Title: Senior Compliance Manager
Contract Type: Permanent
Location: Hong Kong
Contact Name: Justin Wan
Contact Email:
Job Published: January 11, 2019 16:15

Job Description

Senior Compliance Manager (Chinese leading-firm)


We are looking for a high-caliber candidate for our client, please check the JD below.



  • Handle licensing matters with SFC, and reply related enquiries

  • Interact with relevant regulatory parties such as SFC and HKEx

  • Provide compliance advise to management and business units/back office

  • Supervise complaint handling process to ensure complaints are followed-up SFC rules and consistent with internal requirements

  • Draft, review and revise internal manuals, policies and procedures to ensure compliance with regulatory bodies

  • Prepare and review compliance checking programmes and departmental operational procedures

  • Support the Head of Compliance training to conduct compliance training; (regular)

  • Perform ad hoc projects as required



  • Degree holder in Accounting, Finance, Law, Risk or other related disciplines

  • At least 5 years working experience related in Financial industry, highly prefer in Securities industry

  • Familiar with SFC rules and regulations in respect to Type 1, 2, 4, 5, 6 and 9 regulated activities

  • Proactive, hands-on, detail-oriented, able to handle multiple tasks, and adaptability to a small team environment and high standards for accuracy and quality; Independent, self-initiative and good interpersonal skills, and willing to work under pressure

  • Excellent command of written and spoken English and Cantonese, fluent in Mandarin


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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