Compliance Manager

  • Market Rate
  • Hong Kong
  • CDI, Plein-temps
  • PeopleSearch
  • 17 oct. 17 2017-10-17

Our client (a Top-Tier Chinese investment company), is currently now looking for high caliber candidate to join as Associate. This is an exciting opportunity to participate in the rapid growth of this organization and exceptional performer can expect excellent career progression and exposure.


  • Responsible for the drafting, reviewing and revising contracts, agreements and other legal or compliance documentation
  • Provide compliance advice and support to management and business units
  • Coordinate and liaise with regulators on enquiries, reporting, inspection and/or investigation, being familiar with SFC regulations
  • Provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulations
  • Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements
  • Deliver in-house compliance training to the business unit and advice to the management
  • Oversee company secretarial matters with local or oversea agents
  • Perform other ad hoc legal and compliance related tasks



  • At least 5 year’s related experience in handling legal and compliance matters, securities firm or sizeable financial institution
  • Familiar with SFC codes and guidelines, Securities and Futures Ordinance and other relevant regulatory requirements
  • Degree holder in laws, finance, business administration or related disciplines
  • A strong sense of responsibility, mature, problem solving with good interpersonal and communications skills
  • Excellent command in spoken and written English and Chinese (Fluency in Mandarin is a must)
  • Candidate with less experience will be considered as Assistant Manager


Interested Applicants please send your full resume (in Word format) together with present and expected salary to


Tel: (852) 2521-5118 ext.806 or 6377-1289




**Only shortlisted candidates will be contacted for a more detailed discussion**