Compliance Manager

Intermediate (3-6 years)

Technical Skills

  • Compliance
  • Corporate Communications
  • Futures
  • Training

Job Description

Compliance Manager

Location: Central


  • Provide compliance advice and support to management and business units
  • Provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulations
  • Responsible for the drafting, reviewing and revising contracts, agreements and other legal or compliance documentation
  • Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements
  • Coordinate and liaise with regulators on enquiries, reporting, inspection and/or investigation, being familiar with SFC regulations
  • Deliver in-house compliance training to the business unit and advice to the management
  • Oversee company secretarial matters with local or oversea agents
  • Perform other ad hoc legal and compliance related tasks


  • Degree holder in laws, finance, business administration or related disciplines
  • Minimum 5 year’s related experience in handling compliance matters, securities firm or sizeable financial institution
  • Familiar with SFC codes and guidelines, Securities and Futures Ordinance and other relevant regulatory requirements
  • A strong sense of responsibility, mature, problem solving with good interpersonal and communications skills
  • Excellent command in spoken and written English and Chinese (Fluency in Putonghua is a must)
  • Candidate with less experience will be considered as Legal and Compliance Assistant Manager 

We offer attractive remuneration package to the right candidates. Interested parties please send your resume with present & expected salary to Human Resources Department, Room 2101-2105, 21/F, Champion Tower, 3 Garden Road Central, Hong Kong, or email to [email redacted, apply via Jobable] .

All information provided by applicants will be treated in strict confidence and handled confidentially for recruitment purpose only. All personal data of unsuccessful applicants will be destroyed after the recruitment exercise. A copy of Personal Information Collection Statement is available upon request.

Employment TypeFull-time
Career LevelIntermediate (3-6 years)
Education LevelBachelor
LanguageEnglish, Cantonese, Mandarin (Putonghua)