VP, Compliance (Type 1,2,4,5,6 & 9 + Money Lending + Insurance Brokerage))

VP, Compliance (Type 1,2,4,5,6 & 9 + Money Lending + Insurance Brokerage))

Our client is an Asset Management Co. currently holding SFC licenses 1,2,4,5 & 9. She is going to set up the new business lines in Type 6, Insurance Brokerage and Money Lending.  


  • Report to the Management
  • One man band and work closely with external compliance consulting firm


  • 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
  • Handling SFC licensing application, licensing matters, CPT requirement management etc.
  • Assist in ad hoc projects as required


  • Bachelor’s Degree or above
  • 8-10  years relevant working experience in compliance in Financial Sector
  • 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

Interested candidates please send your cv to suzanne.choi@levin.hk or contact us at 25200104.





Enquiry: 25200104

To apply for this job, please send your CV to suzanne.choi@levin.hk

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