Compliance Manager, Institutional Brokerage

My client is looking for apliance Manager to join their HKpliance Team, someone with a strong passion inpliance, with a positive attitude to learn, able to point of contact for local regulator (SFC).

Thepany

Our client is an institutional brokerage with strong presence in HK and well-rounded regulatorypliance exposure. As an important part of their Regulatorypliance Team, they are now looking for a seasoned,mitted, and motivatedpliance professional to cover securities brokerage business (institutional).

The Role

As part of a growing HKpliance Team, you will be reporting to the Chief Operation Officer, responsible for coordinating regulatory examinations (SFC), maintenance ofpliance oversight programme, Code of Ethics, Data Privacy and training, KYC and AML review, and developingpliance policies & procedures. You will also be involved in variespliance projects and new products approval process.

Your Profile

The successful candidate will be a degree holder in Law or Accounting, with a professional qualification is highly preferable. You will have at least 7 years ofpliance experience in a brokerage securities environment, with solid experience in handling and liaising with local regulators, along with strong project management skills. You will possess excellent presentation andmunication skills (Fluent Cantonese and English is a MUST) and an ability to deal with all levels of an organisation.

Job ID WL20250428