Job title: Securities and Investment Compliance Manager, SFC regulation focus
Job type: Permanent
Emp type: Full-time
Location: Hong Kong
Salary type: Annual
Salary from: HKD $650,000.00
Salary to: HKD $900,000.00
Job published: 09-03-2018
Job ID: 33269
Contact name: Jennifer Yang
Phone number: +852 3708 9510
Contact email:

Job Description

VP, SFC Regulatory Compliance Manager - Securities and Investment business


Our client is one of prestigious and leading global advisory, broking and solutions company that helps its clients around the world turn risk into a path for growth. Our client provides a broad range of services that combine unparalleled industry knowledge with analytical expertise, including strategic advisory, capital raising and insurance-linked securities. Due to continued commitment to expansion of Compliance function, they currently have an exciting opportunity for an experienced candidate to join their regional compliance team.


The Securities and Investment Compliance Manager will report directly to the Group Compliance Director, with dotted reporting lines to the Securities Chief Compliance Officer, the Investment Regional Operations Manager and the Country CEO. You will be responsible for regulatory compliance of the Investment and Securities businesses in Hong Kong, oversight and management of the overall compliance framework for and delivery of compliance support to our Securities and Investment businesses, and developing and monitoring the adequacy and effectiveness of the existing compliance arrangements in place as well ensure that remedial action is taken where any deficiencies are identified.


As subject matter expert, you will be providing strategic advice to our business leaders regarding the appropriate control environment, and technical regulatory advice as required in connection with the regulatory aspects of specific transactions, existing services and proposed new services. You will also be responsible to carry out regulatory audits to confirm compliance with external regulatory requirements and internal policies and procedures. You will be required to handle any inquiries from and lead on behalf of the business during inspections or audits undertaken by the SFC and other regulatory authorities.


To qualify, individuals must possess:

  • Minimum 6 - 8 years of relevant compliance experience, preferably in Securities brokerage, fund houses, asset management or financial institutions
  • Good exposure and knowledge of regulatory requirements SFC codes and guidelines
  • Significant relevant experience in the securities and investment advisory industries
  • Excellent working knowledge of SFC rules and their application and an in-depth understanding of the regulatory framework
  • Excellent interpersonal skills and the ability to engage effectively with senior management and associates to promote a positive and business focused compliance culture
  • A proven ability to work both independently and as a team player in a fast-paced, demanding environment
  • Must be committed to maintaining a robust compliance culture and high ethical standards
  • Excellent communications skills with fluency in English and Cantonese


To apply, please contact Jennifer Yang for a confidential discussion at (852) 3708 9510 or email quoting job reference number JY33269. To visit more Legal, Compliance and Risk management jobs please check


Data collected will be for recruitment purposes only. Only shortlisted candidates will be contacted. If you have not been contacted within 5 business days of your application, please assume your application has not been shortlisted.