Legal & Compliance – Manager / Asst Manager (Big 4 candidates are welcome

Legal & Compliance – Manager / Asst Manager (Big 4 candidates are welcome

Our client is a well-established Financial Institution with SFC RA 1,2,4, 5 & 9. She is now inviting caliber candidate to join her team with the requirements below:


  • Report to the COO directly
  • Provide ongoing compliance advice and support business initiatives
  • Monitor regulatory changes and update the policies and procedures
  • Handle regulatory reporting and inquires with the relevant exchanges, SFC and other regulators
  • Prepare and review compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes
  • Manage internal and external audit, inspections and investigations from the
  • auditors, exchanges and regulators
  • Liaise and collaborate with different departments to formulate, drive and implement remediation of compliance issues
  • Conduct in-house compliance training
  • Handle SFC licensing application, licensing matters, CPT requirement management etc.
  • Assist in ad hoc projects as required


  • Bachelor’s Degree or above
  • Min.  4 years relevant experience in Financial Service sector of Big Four audit firms
  • Good knowledge of SFC regulations, guidelines and market practices
  • Responsible, hardworking and well-organized
  • Good command of both written and spoken English and Chinese including fluency of Mandarin
  • Legal experience is preferred

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

HK$40,000 - 60,000

4 years


Central Hong Kong

Enquiry: 2520 0064

To apply for this job, please send your CV to

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