Compliance Manager / Senior Manager

Cathay Securities (Hong Kong) Limited; Hong Kong; On-site; HKD 469,000 - 781,000; Full time

Job summary

Cathay Securities (Hong Kong) Limited is seeking an experienced Compliance Officer to design, implement and monitor a robust compliance framework for a Type 1&4 licensed firm. You will liaise with regulators and external parties on legal matters, advise business units, and conduct ongoing reviews in line with both regulatory and internal requirements.

The role also involves leading AML/KYC onboarding, preparing management reports, and driving ad hoc compliance projects.

Qualifications

• Analytical, self-motivated and able to work under pressure.
• Excellent presentation and problem-solving skills.
• Proficiency in spoken and written English and Chinese (including Mandarin).

Responsibilities

• Design, implement and maintain a fit-for-purpose compliance framework for a Type 1&4 licensed corporation, including policies, procedures and monitoring programmers.
• Liaise with regulators and external parties on legal and regulatory issues.
• Provide advisory support to business operation units on compliance issues.
• Conduct compliance reviews and monitor business activities in accordance with regulatory and internal requirements.
• Prepare, review, and finalize compliance reports and documentation for submission to management and the Group.
• Lead AML, KYC and onboarding processes.
• Support ad hoc projects and other duties as assigned.

Skills

Analytical

Self-motivated

Under pressure

Presentation skills

Problem-solving

English

Mandarin Chinese

Education

Bachelor’s degree in law/finance/business

Job description

Design, implement and maintain a fit-for-purpose compliance framework for a Type 1&4 licensed corporation, including policies, procedures and monitoring programmers

Liaise with the relevant regulators and external parties on legal and regulatory issues

Provide advisory support to business operation units on compliance issues

Conduct compliance review and monitor business activities in accordance with regulatory and internal requirements

Prepare, review, and finalize compliance reports and documentation for submission to management and the Group

Lead AML, KYC and onboarding processes

Support ad hoc projects and other duties as assigned

Requirements:

Bachelor’s degree in law, finance, business management, or a related field

Compliance experience in Securities Firm is highly recommended;

Solid understanding of the SFC regime and hands-on experience acting as or supporting an MIC

Above 5 years of relevant compliance experience

Analytical, self-motivated, ability to work under pressure;

Excellent presentation and problem-solving skills;

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

Your application will include the following questions:

• Which of the following statements best describes your right to work in Hong Kong?
• What's your expected monthly basic salary?
• How many years' experience do you have as a compliance officer?
• What is your highest level of education?