Senior Compliance Manager - Securities Firm

  • 80K/month + discretionary bonus
  • Hong Kong
  • Permanent, Full time
  • Taylor Root Hong Kong , EA Licence No: 17S8475
  • 21 May 19

My client is a well-known Chinese based Securities/Brokerage firm. They are currently looking for a Senior Compliance Manager to join their team.


  • Report directly to the Head of Legal and Compliance and work alongside with compliance and legal team members 
  • Provide professional compliance advisory to the investment banking business team
  • Maintain and update compliance policies and procedures
  • Liaise directly with the SFC regulator on all regulatory enquiries 
  • Provide compliance training to staff as needed 

Requirements :

  • Bachelor of Finance, Economics, Law, Accounting or related disciplines
  • Sound knowledge of compliance experience in handling SFC license type 6 or 9
  • At least 5-7  years of experience in compliance from brokerage/securities firm specialising in corporate finance and/or asset management 
  • Must be proactive and diligent 
  • Fluent in English and Chinese; must be able to read and write Chinese