Reference Number 035990
Position Senior Compliance Manager
Salary Negotiable
Job Requirements
Degree holder in the areas of business, accounting, law or related disciplines
Minimum of 5 years’ experience in performing internal auditing or compliance functions in the securities industry, such as investment bank or securities firm
Sound knowledge of the securities industry, including a thorough understanding of equities, futures and options and fixed income products, business operations and practices
Good knowledge and understanding of the securities laws, rules and regulations, codes and practices of Hong Kong, including those of the local regulators and exchanges
Excellent analytical skills
Able to work efficiently and under minimal supervision
Strong communication and interpersonal relationship skills
Excellent written and spoken English. Fluent Mandarin is a plus.


Lead and manage the internal compliance control and supervision and business practices of, the regulated activities conducted by the Company, its subsidiaries, and their respective officers and employees
To develop and establish appropriate and effective policies and procedures on any new regulatory requirements and business products or activities
To provide advisory services to business and/or support units on compliance related issues and to liaise with regulators as necessary
To manage and conduct the daily review and monitoring of the regulated business activities of the Company and its subsidiaries, and any proprietary and staff dealing, and to report occurrences of non-compliance or irregularities
To develop and conduct continuing professional training programs; and
To manage and supervise the client account opening documentation and requirements
Contacts - 2776 8202