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Compliance Manager/ Senior Manager, Chinese Securities Firm

Ruike Consultancy Asia Limited

2020-09-15 12:28:28

Job location Not Provided, Hong Kong Island, Hong Kong

Job type: fulltime

Job industry: Other

Job description


  • Monitor trade surveillance function of the licensed corporations and carrying out the relevant compliance checking at the front, middle & back offices functions
  • Handling licensing matters with SFC, and assist in answering relevant enquirers (Also handling matters with HKEX)
  • Draft, review and revise internal manuals, policies and procedures from compliance perspective to ensure compliance with regulatory bodies
  • Drafting compliance checking plan, programme, checklists and reports
  • Conduct compliance review, checking and assessments
  • Perform ad hoc projects as required


  • Degree holder in Accounting, Finance, Law, Risk or other related disciplines
  • 6 years of related working experience in financial industry holding SFC type 1, 2, 4, 5 regulated activities, highly prefer in sizable Chinese securities firm / SFC would be advantages
  • Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements
  • Good command of written and spoken English and Chinese, fluency in Putonghua
  • Independent, self-initiative and good interpersonal skills and willing to work under pressure

Candidates with more experiences can be considered as Senior Compliance Manager/ Head of Compliance.

We also have compliance openings (manager grade) in asset management companies & insurance sector. If you are interested in the positions, please send us your updated profile to resume(at)ruikezixun.com or click on the application button here. All applications will be kept highly confidential.

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