Back to search

Compliance Senior Manager - Securities Firm

Hong Kong Permanent HK$750,000 - HK$900,000 per year View Job Description
This role will focus on a well rounded compliance role for a well known securities firm. This permanent position requires expertise in regulatory frameworks and compliance practices to ensure organisational adherence to relevant standards.
  • Looking for 7+ years of securities compliance exp
  • Must be able to read and write chinese and speak mandarin

About Our Client

My client is a well known securities firm with SFC License Type 1 2 4 5 6 7 9. They have over 100 staff in their HK office and are currently growing.

Job Description

Your main responsibilities will include:

  • Developing and implementing compliance policies and procedures to meet regulatory requirements.
  • Conducting regular compliance reviews and risk assessments.
  • Monitoring regulatory changes and ensuring timely updates to policies and practices.
  • Providing compliance advisory support to various departments within the organisation.
  • Collaborating with external regulatory bodies and maintaining strong relationships with them.
  • Preparing compliance reports and documentation for internal and external stakeholders.
  • Delivering compliance training and awareness programmes to employees.
  • Supporting the investigation and resolution of compliance-related incidents.

The Successful Applicant

A successful candidate should have:

  • bachelor degree
  • 7+ years of compliance experience from securities firm
  • regulatory compliance/compliance generalist background
  • Knowledge of regulatory frameworks applicable to the Hong Kong market.
  • Experience in compliance monitoring, advisory, and reporting.
  • Proficiency in analysing and interpreting regulatory changes.
  • Must be able to read and write chinese and speak mandarin

What's on Offer

  • Competitive annual salary
  • Growing Firm
  • Well rounded compliance role



If you are ready to move forward in your compliance career, we encourage you to apply.

Contact
Monica Wong
Quote job ref
JN-092026-7114204
Phone number
+852 2848 4789

Job summary

Function
Banking & Financial Services
Specialisation
Compliance & Legal
What is your area of specialisation?
Financial Services
Location
Hong Kong
Job Type:
Permanent
Consultant name
Monica Wong
Consultant phone
+852 2848 4789
Job Reference
JN-092026-7114204

Diversity & Inclusion at Michael Page

We don't just accept difference - we celebrate it. We encourage applicants from all backgrounds to apply for this role and are committed to building inclusive, diverse workplaces where everyone can thrive. If you require any support or reasonable adjustments during the recruitment process, please let us know.