Compliance Manager/Senior Compliance Manager

Ping An Securities (Hong Kong) Holdings Company Limited; Hong Kong; On-site; HKD 600,000 - 900,000; Full time

Job summary

Ping An Securities (Hong Kong) Holdings Company Limited is seeking a Compliance Manager/Senior Compliance Manager to provide practical compliance advice to front and middle/back office in Hong Kong.

The role requires handling complex compliance issues with a strong knowledge of SFC rules, and guiding licensing applications. You will support the department head on AML/CFT inquiries, investigations, and regulatory examinations, while collaborating with internal stakeholders on projects.

Qualifications

• Bachelor’s degree or above in related field
• 6+ years of experience handling complex compliance issues
• Sound knowledge of SFC rules and securities business
• Proficiency in English and Chinese (Mandarin)

Responsibilities

• Provide practical compliance advice to front and middle back office
• Review and revise compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes
• Provide guidance to junior member on licensing applications and provide advice on licensing issues
• Assist the department head to advise business stakeholders on AML/CFT related inquiries and matters
• Assist the department head to conduct internal investigation and draft conclusion report
• Collaborate closely with internal stakeholders for implementation of compliance related projects
• Handle regulatory requests, inquiries and examinations in a proper and timely manner
• Perform ad-hoc assignments as assigned

Skills

SFC rules knowledge

English & Chinese

Independent work

Interpersonal skills

Education

Bachelor’s Degree or above

Job description

Compliance Manager/Senior Compliance Manager

Provide practical compliance advice to front and middle back office

Review and revise compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes

Provide guidance to junior member on licensing applications and provide advice on licensing issues

Assist the department head to advise business stakeholders on AML/CFT related inquiries and matters

Assist the department head to conduct internal investigation and draft conclusion report

Collaborate closely with internal stakeholders for implementation of compliance related projects

Handle regulatory requests, inquiries and examinations in a proper and timely manner

Perform ad-hoc assignments as assigned

Requirements:

Bachelor’s Degree or above

6 years or above of relevant working experience in handling complicated compliance issues

Sound knowledge in rules and regulations administered by the SFC, market practices, financial products as well as securities business

Self-motivated, able to work independently

Good interpersonal and communication skills

Solid work experience in general compliance, preferably in Chinese securities firm

Proficiency in both written and spoken English and Chinese (including Mandarin)

Candidate with more experience will be considered as Senior Manager

We offer attractive remuneration package and fringe benefits to the right candidate.

All applications will be treated in the strict confidence and personal data collected will be used for recruitment purpose only.