Compliance Manager (SFC Full Licensed Corp)
Compliance Manager (SFC Full Licensed Corp)
Posted on :
22-08-2025
Employer Active
1 Vacancy
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Job Description
Our client an established financial group with SFC Type 1 4 9 is currently looking for a Compliance Manager to monitor their daily operation.
Responsibilities:
- Monitor all compliance issues of thecompany including Asset Management Brokerage and Direct Investment
- Conduct investigation on suspicious transaction cases
- Build and strengthen thein-house compliance & risk management framework
- Provide AML/KYC advisory and operational support
- Roll out compliancepolicies & operating guidelines
- Perform periodic review on staffs personal dealing pre-clearance requests and reconciliation
- Ensure all business units are in full compliance with the relevant laws rules andregulations
- Develop and provide compliance training
- File and monitor Disclosure of Interest notification in compliance with HKEx rules
Requirements
- University degree in Banking/Finance or any related disciplines
- Minimum of 3 years relevant experience in financial industry or SFC type 149 companies in compliance/legal
- Sound knowledge of listing rules takeover code
- Ability to work under pressure with strong communication and analytical skills
- Fluency in English and Mandarin is essential
- Strong report writing skills in both Chinese and English
All information collected will be kept in strict confidence and will only be used for recruitment purpose. Only shortlisted candidates will be notified.
Required Experience:
Manager
Employment Type
Full-Time
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