A fully licensed corporation with RA1, 2, 4, 5 & 9, as well as an External Asset Management (EAM) business and Insurance Broker, is seeking a high-caliber Compliance Manager to oversee compliance functions and ensure adherence to regulatory standards.

Responsibilities

• Develop and implement a compliance framework to support organizational operations.
• Monitor and review compliance policies to ensure effectiveness and regulatory compliance.
• Lead compliance audits and assessments, identifying improvements and ensuring corrective actions.
• Provide guidance on compliance matters, including risk assessments and mitigation strategies.
• Collaborate with internal departments to promote a strong compliance culture.
• Facilitate training sessions on compliance topics to enhance staff awareness.
• Manage compliance reports for regulatory authorities, ensuring timely and accurate submissions.
• Act as the primary contact for regulatory bodies to maintain effective communication.
• Stay updated on regulatory changes and best practices to guide compliance strategies.

Requirements

• Degree in Business Administration, Law, Finance, or a related discipline.
• LLB preferred.
• 3-5 years of relevant experience with SFC Type 1, 2, 4, 5, and 9 licenses in the finance or investment sector.
• Strong understanding of HK, PRC, and global regulations on investment products.
• Excellent analytical and problem-solving skills.
• Proven ability to develop and execute compliance strategies aligned with organizational goals.
• Exceptional interpersonal and communication skills.
• Proficient in English and Chinese (including Putonghua).

Interested parties please send your  resume in word format with current & expected salary and notice period to [via CTgoodjobs Apply Now].  For details, please feel free to contact Thomas  at +852 6718 4050.

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