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Senior Manager/ Manager Compliance - Securities Firm

Hong Kong Permanent HK$720,000 - HK$900,000 per year View Job Description
This role requires a Compliance Manager or Senior Manager with over six years of experience to provide regulatory advice, manage AML/CFT matters, and handle SFC-related inquiries. The position demands proficiency in Chinese securities regulations, strong interpersonal skills, and the ability to work independently.
  • Looking for well rounded compliance bkgd from securities firm
  • Must be able to read and write chinese and speak mandarin

About Our Client

This company is a prominent Chinese financial institution offering securities services and financial products regulated by the Securities and Futures Commission (SFC) in Hong Kong. They are SFC license 1 2 4 6 9 with over 100 staff in HK.

Job Description

As a Senior Manager/Manager Compliance, your main responsibilities will include:

  • Overseeing compliance programs and ensuring adherence to regulatory requirements in Hong Kong.
  • Developing and implementing compliance policies and procedures to mitigate risks.
  • Monitoring changes in regulatory requirements and providing guidance to relevant teams.
  • Conducting compliance reviews and audits to identify potential areas of risk.
  • Collaborating with internal departments to ensure compliance practices are integrated into operations.
  • Providing training and guidance to staff on compliance-related matters.
  • Preparing compliance reports for senior management and regulatory bodies.
  • Responding to inquiries and investigations from regulatory authorities.

The Successful Applicant

A successful Senior Manager/Manager Compliance should have:

  • bachelor degree
  • 5-8+ years of compliance experience from securities firm
  • In-depth knowledge of Hong Kong regulatory requirements and guidelines.
  • A proven ability to develop and implement effective compliance frameworks.
  • Excellent analytical skills and attention to detail.
  • Effective communication skills for liaising with internal teams and regulators.
  • Must be able to read and write chinese and speak mandarin

What's on Offer

  • Comprehensive benefits package tailored to employees' needs.
  • Opportunities for professional growth within a large organization.
  • Work in the heart of Hong Kong's financial services industry.
  • Collaborative and supportive workplace culture.



If you are passionate about compliance and risk management, we encourage you to apply for this exciting Senior Manager/Manager Compliance opportunity in Hong Kong.

Contact
Monica Wong
Quote job ref
JN-072026-7053720
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-072026-7053720

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.