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Compliance Manager

  • Location

    Hong Kong

  • Sector:


  • Contact:

    Allan Wan

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    3 months ago

  • Expiry date:


Job description

One of our top tier clients in the city of Hong Kong with Type 1 (Dealing in Securities), Type 4 (Advising on securities), Type 6 (Advising on corporate finance) and Type 9 (Asset management) licenses authorised by the Securities and Futures Commission (SFC) of Hong Kong is currently looking for a Manager of Compliance. The successful candidate will be supporting the Compliance Director by providing compliance support and advice to the company to assist them to meet their regulatory requirements.

Due to the expansion of the company, the company is now looking for a compliance professional to join the team.

You will be working on:

  • Update compliance policies and procedures and coordinate and to make sure due to compliance with regulatory requirements;
  • Working on surveillance exercise on internal controls as well as compliance procedures to
  • Responsible for licensing related matters and liaise with SFC.
  • Monitoring staff dealing activities and maintaining the Group’s restricted list and watch list;
  • Involve in company secretarial duties and record keeping for Group’s subsidiaries and associated entities; &
  • File and monitor Disclosure of Interests notification in compliance with HKEx rules;
  • Assist in Funds setting up works by coordination with lawyers, bankers and fund administrator;


  • Bachelor degree holder, preferably in Law or Accounting. 
  • At least 2-3 years relevant experience preferably in a securities firm, asset management house or compliance consulting company;
  • Knowledge in setting up an investment fund would be advantageous.
  • Good command of both written and spoken English and Chinese, including Putonghua; &
  • Self-Driven, independent and a good sense of responsibility with good communication skills.


Please send your CV to to apply or apply directly below.