Senior Compliance Manager

Job Title: Senior Compliance Manager
Contract Type: Permanent
Location: Hong Kong
Reference: 1_250418
Contact Name: Gina Hui
Contact Email:
Job Published: April 25, 2018 16:23

Job Description

HK$ 50K to HK$ 80K/Month

Our client, a large brokerage firm in Hong Kong is looking for a seasoned compliance candidate to join their well established and growing platform in Hong Kong


  • Ensure all trading entities comply with relevant regulations and requirements
  • Develop policies, procedures and process to allow the business to comply with applicable laws, rules and regulations
  • Handle all license matters for the company and staff
  • Prepare responses to regulatory inquires and investigations
  • Provide legal and compliance advice on our existing and new products/business
  • Perform any ad-hoc tasks or projects related to legal and compliance matters


  • A minimum of six years of experience in compliance in the brokerage industry (Type 1 & Type 4)
  • Extensive knowledge and understanding of SFO and the relevant codes/regulations/guidelines of the SFC
  • Good understanding of US and Global equities is a PLUS
  • Knowledge of Hong Kong equity settlement and IPO process is an advantage
  • Proficient in written and spoken English and Cantonese is a MUST

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