COMPLIANCE MANAGER – HK listed/securities brokerage/asset management/finance & banking

Intermediate (3-6 years)


Technical Skills

  • Asset Allocation
  • Asset Management
  • Compliance
  • Economics
  • Futures
  • Risk Management
  • Training

Job Description

COMPLIANCE MANAGER – HK listed/securities brokerage/asset management/finance & banking

Location: Within Hong Kong

Member of HK listed company - holding SFC Type 1 (Dealing in Securities) and Type 9 (Asset Management) regulated activities - we are currently focus in providing brokerage services and margin financings to clients for trading in securities listed in Hong Kong - we are now looking for a  COMPLIANCE MANAGER  - with details as follows :
  • University degree/qualifications 
  • Studies in Economics/Finance/Business/Risk Management related is a plus
  • Minimum 5 years compliance experience 
  • Excellent knowledge of rules and regulations relating to securities and futures brokerage, corporate finance and asset management business 
  • Able to identify problems and seek practical solutions 
  • Solid awareness of controls and governance 
  • Self-motivated, a team player and results orientated 
  • Business level in English and Mandarin
  • Report to the CEO
  • In-charge of the company's and representative's license application, maintenance and reporting with SFC, CPT monitoring, ensure proper licensing with local regulators 
  • Promote compliance awareness across the businesses and design training on regulatory, compliance policies and procedures to company staffs 
  • Participate in the development & implementation of compliance controls included compliance checking, clearance of staff dealing, suspicious transaction reporting, maintenance of watch list/restricted list etc. 
  • Handling SFC and external enquiries
  • Other ad hoc projects related to compliance
We provide free job hunting services to job seekers.
Please attach your CV with salary expected to
[email redacted, apply via Jobable]
To speed up our process, please do NOT send us download links.
Personal data provided by job applicants will be used for recruitment purpose only.
Your privacy is guaranteed. We will never give out, lease, or sell your personal information.
JPC Recruiting Services was established in 1990.
Employment TypeFull-time
Career LevelIntermediate (3-6 years)
Education LevelBachelor
LanguageEnglish, Mandarin (Putonghua)
JPC TexsonHuman Resources and Recruitment

Java Road 108 Commercial Centre 108 Java Rd North Point

directions_walk4 mins walk from North Point Station