Chief Officer – Compliance / Risk – RA 1, 4, 6, 9 (Native Mandarin speaker)

Chief Officer – Compliance / Risk – RA 1, 4, 6, 9 (Native Mandarin speaker)

Our client is a well-established PRC Financial Group with SFC licensed type 1, 4, 6, 9 business. To cope with the rapid business expansion, she is now inviting high caliber candidate to join the team.


  • Report to the CEO directly
  • Oversee and manage the functions of Compliance, Legal & Risk
  • Responsible for developing and enhancing compliance control policies, procedures, programes and monitoring their effective implementation;
  • Monitor compliance review and ad hoc examination for securities brokerage, corporate finance and asset management.
  • Maintain highest level of compliance standards
  • Handle ad hoc projects and drafting and preparing reports and submissions
  • Liaise with regulators, internal and external regulators as required
  • Ensure all  enquiries, complaints and investigations and licensing works are handled properly


  • Degree holder in Law, Finance, Accounting or related disciplines
  • Over 12 years’ relevant experience in Compliance team in PRC base securities firm / financial institutions
  • Well versed with the SFO and other relevant codes and regulations as well as rules and regulations of Type 1, 4,6, 9
  • Proficiency in both spoken and written English, Cantonese and Native Mandarin speaker
  • Excellent communication, analytical and problem solving skill

*** Pls send CV to for application or contact us at 2520 0064 for more infor


12 years

Degree holder

West Kowloon

Enquiry: (852) 2520 0064

To apply for this job, please send your CV to

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