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Recruit Ref: L050324174
Posting Date: 2022-06-27

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Assistant Manager, Compliance


  • Establish, implement and monitor compliance policies, procedures and standards of Hong Kong operations
  • Provides consultation to local, overseas and China offices on SFO regulatory and compliance issues
  • Ensure that daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets
  • Handle enquiries from regulators
  • Perform and review regular compliance checking
  • Organize/provide CPT training to SFC license holders
  • Assist Department Head to supervise team members


  • Degree holder in Law, Finance, Accounting, Business or related discipline(s).
  • Minimum 5 years' solid relevant experience in securities brokerage firm or fund house or investment bank or sizable financial institutions
  • Familiar with SFO and HKEX rules in securities, futures and corporate finance as well as the operations, products and services in licensed corporations.
  • A good team player, quick learner, self-motivated, strong sense of responsibility and discipline with good communication skills
  • Good command of written and spoken English and Mandarin

Banking / Finance / Securities / Investments 
Job Position Level:
Employment Term:
Full Time 
Min. Edu. Level Req:
Minimum QF Level attained:
Total Working Exp:
-- (Monthly)
Central & Western District
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