Compliance Manager – Securities (RA1 ) (PRC Financial Group)

Compliance Manager – Securities (RA1 ) (PRC Financial Group)

Our client is a PRC Financial Group, listed in HK main board. She is now inviting caliber candidates to join her team with the requirements below:


  • Responsible for all compliance matters and operations of the Securities business (RA 1)
  • Liaise and handle SFC for inspection, licensing and enquiries
  • Assist to supervise the Compliance Team in ensuring the group comply with internal and regulatory requirements
  • Draft and review legal agreements/ documents for the various licensed entities.
  • Execute a risk-based compliance monitoring program and provide guidance for new projects
  • Conduct AML surveillance, KYC/DD, FATCA, CRS, AEOI to ensure to comply with the regulatory requirement.
  • Monitor all employee staff dealing in securities on the watch list or restricted list.  Provided compliance advisory support in current and new business initiatives
  • Work closely with external legal entity for the group company
  • Conduct training and provide advice to licensees


  • Degree holder in Law, Finance or other related disciplines;
  • Minimum 5 years  relevant compliance experience gained from securities industry,
  • 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 preferred.

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


5 years relevant experience

Degree holder

Central HK

Enquiry: 2520 0064

To apply for this job, please send your CV to

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