Compliance Manager

Our client is an investment and finance company in Hong Kong now looking for high-caliber candidates to take up the following challenging roles.  


  • Responsible to review, update and enhance compliance framework on various business activities and initiatives

  • Update compliance policies and procedures with information on the latest regulatory requirements

  • Review KYC documentation upon account opening according to guidelines set by SFC and provide advice on KYC to related staff

  • Perform account transactions monitoring and AML measures

  • Liaise with SFC and follow up on their enquiries and investigation requests

  • Prepare monthly FRR reports to SFC

  • Handle SFC licensing matters and prepare various reports as required


  • University Degree in Accounting, Finance, Law or related disciplines

  • Minimum 5 years of compliance experience in brokerage firms or financial institutions in Compliance Department

  • Good knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control

  • Good command of written and spoken English, Cantonese and Mandarin