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Compliance Manager - Sizeable brokerage firm

Job description

Our client is a renowned securities and brokerage firm with a strong presence and leading position in APAC. With their team expanding, they are looking for a Manager, Compliance to join their team.


  • Provide advice to business units on regulatory interpretation and compliance issues in the coverage area
  • Formulate and update internal policies and procedures to ensure relevant laws and regulations and compliance standards are complied with
  • Handle day-to-day compliance tasks and make sure the company is complying with the SFC regulations and rules
  • Provide compliance advisory to the business unit
  • Monitor the trading patterns of the targeted SFC license representatives


  • Degree holder in Law, Accounting, Finance, Business Administration, or related discipline
  • At least 4 years' experience in securities brokerage - SFC type 1, 2, 4, 5 regulated activities
  • Solid knowledge in rules and regulations administered by the SFC, compliance best practices, financial products as well as securities business.
  • Proficiency in both written and spoken English and Chinese (including Mandarin)

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