Compliance Manager (RA 1 & 2)


  • Supervise compliance functions of all business activities, identify and evaluate compliance risks and provide alternative solutions;
  • Provide daily regulatory advice and guidance on rules and internal policies including AML and its latest updates, review business processes to ensure compliance with regulatory requirements;
  • Update and maintain compliance policies and manuals of the business units as necessary on ongoing basis;
  • Deliver in-house Compliance training to business units;
  • Manage relationship with regulatory bodies, including SFC and HKEX, etc., handle queries and requests;
  • Co-ordinate and manage ad-hoc compliance related projects and tasks.


  • Degree holder in Law, Finance or other related disciplines;
  • Minimum 5 years of relevant compliance experience gained within securities industry, candidates with more experience will be considered as Senior Compliance Manager;
  • Good command of spoken and written English, Cantonese and Mandarin;
  • Strong presentation and communication skills;
  • Self-motivated, well-organized, able to work under pressure and have good team spirit;
  • Immediately available is highly prefered.

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


3 - 5 years relevant experience

Degree holder in Legal discipline

Central, Hong Kong

Enquiry: 2520 0064

To apply for this job, please send your CV to

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