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Compliance Manager at Securities Brokerage

  • Location

    Hong Kong

  • Sector:

    Compliance & Financial Crime

  • Job type:


  • Salary:


  • Contact:

    Allan Wan

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    over 1 year ago

  • Expiry date:


Our client is a fast-growing Securities Brokerage firm. They are now looking for a Compliance Manager.



  • Responsible for providing compliance advice to a wide range of corporate finance and asset management activities
  • Responsible for carrying out the compliance works to ensure the company’s business operations are strictly in compliance with regulatory requirements
  • Periodically report on significant activities conducted and planned for the upcoming period
  • Conduct ad hoc test work of various rules and regulations
  • Conduct or assist with special investigations and projects as deemed necessary by senior compliance and business management
  • Assist in compliance-related matters during examinations by the bank’s regulators and internal auditors/IG



  • Minimum of 3 years' relevant working experience
  • Candidate will be familiar with the regulatory guidelines on corporate finance matters
  • Excellent command of English and Chinese 

If you are interested in this or similar roles, please contact Allan Wan at or call 359-562-020.