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Manager, Regulatory Compliance

Job description

Our client, a top-tier Chinese investment bank providing financial services, securities, asset management, and more to corporations, institutions, and individuals worldwide, is seeking a Regulatory Compliance Manager to join their team in Hong Kong.


  • Develop and implement policies and procedures to ensure compliance with relevant regulations and laws, including but not limited to SFC and other regulatory bodies
  • Monitor and analyze regulatory developments and assess their impact on the bank's business and operations, and provide advice to the management team
  • Conduct compliance training to ensure staff are aware of regulatory requirements and their responsibilities
  • Review and approve marketing and advertising materials to ensure they are in compliance with regulatory requirements
  • Participate in regulatory inspections and audits and manage any resulting corrective actions


  • Bachelor's degree in Law, Accounting, Finance, or related field
  • Minimum of 5 years of relevant experience in regulatory compliance within the financial industry
  • Strong knowledge of SFC and other regulatory requirements and laws
  • Excellent communication and interpersonal skills, with the ability to work effectively with all levels of the organization
  • Strong analytical and problem-solving skills, with the ability to identify and mitigate compliance risks
  • Fluency in English and Chinese (both Cantonese and Mandarin) is required

If you are a driven individual with a strong track record in regulatory compliance and are looking to join a top-tier Chinese investment bank, please submit your application with your CV. We look forward to hearing from you.

If this job isn't quite right for you, but you know someone who would be great at this role, why not take advantage of our referral scheme? We offer HKD1000 in Apple gift cards for every referred candidate who we place in a role. Terms & Conditions Apply.