Compliance Manager – Securities Firm (5yrs exp. 45k – 65k + Bonus)

Compliance Manager – Securities Firm (5yrs exp. 45k – 65k + Bonus)

Job Title: Compliance Manager – Securities Firm (5yrs exp. 45k – 65k + Bonus)
Contract Type: Permanent
Location: Hong Kong
Reference: 3323
Contact Name: Pathay Singh
Contact Email:
Job Published: July 20, 2017 16:41

Job Description

We are exclusively working with a HK based securities and asset management business that has been established 25+ years ago.

The business has a small team of 12 and they are looking to take on a Compliance Manager to manage all aspects of compliance and act as the sole compliance person in the business reporting to the COO. They have a great track record with the SFC and had a clean SFC Audit 2 years ago.

•Reviewing the Firm’s compliance procedures & policies. Ensuring compliance policies are properly aligned with regulatory guideline, codes, and ordinances. 

•Handle KYC, AML-related issues and projects

•Responsible for Hong Kong regulatory work including SFC enquiries and investigations

•Provide or organize for compliance training for Firm’s staff and ensure compliance policies and procedures are maintained and followed

•Update compliance policies and procedures and ad hoc tasks as required

Salary Range (40k to 60k per month plus bonus) and a real work life balance emphasis and opportunity to develop into Head of Compliance as they grow. If you are interested in applying please send your CV to or call Pathay on 39516344.