Manager / Senior Manager / Deputy Head – Compliance (PRC FI)

Manager / Senior Manager / Deputy Head – Compliance (PRC FI)

We are assisting a PRC oriented financial institution to seek high calibre candidates to fill the following role.


  • Involve in handling internal business compliance enquiries in relation to Type 1, 4, 6 and 9 activities when required
  • Provide business units and management day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the Group is in compliance with the law, rules and regulations
  • Partner with counterparties on assessing and measuring compliance related risks, and developing common standards and practices
  • Conduct monitoring and surveillance activities wherever appropriate for compliance with regulatory requirements
  • Draft, revise, update and maintain compliance policies and manuals
  • Handle queries and requests from relevant Exchanges and Regulators
  • Deliver in-house regular compliance training


  • Degree holder of Law, Finance or other related disciplines
  • 8 – 10 years’ relevant compliance experience gained from financial institutions or regulatory authorities
  • Solid experience in compliance is required and familiar with SFC laws and regulations
  • Familiar with SFO and SFC regulations and guidelines for Type 1, 4, 6 and 9 activities
  • Good command of written and spoken English and Chinese including fluency in Putonghua


Interested parties please send your FULL RESUME (in MS Word format) with availability, current and expected salary to or you can call us at (852) 2520-0284 for more information.

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Enquiry: 25200284

To apply for this job, please send your CV to

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