Compliance Senior Manager - Securities Firm

Michael Page International (HK) Ltd; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

Michael Page International (HK) Ltd in Hong Kong seeks a Compliance Senior Manager for a well-known securities firm. The role focuses on a broad compliance remit, ensuring adherence to regulatory standards and robust governance across the organisation.

Ideal candidates will have 7+ years in compliance within securities, strong knowledge of HK regulatory frameworks, and experience in monitoring, advisory, and reporting. Chinese literacy and Mandarin ability are preferred.

Qualifications

• 7+ years of compliance experience in a securities firm.
• Knowledge of regulatory frameworks applicable to Hong Kong.

Responsibilities

• Developing and implementing compliance policies to meet regulatory requirements.
• Conducting regular compliance reviews and risk assessments.
• Monitoring regulatory changes and updating policies accordingly.
• Providing compliance advisory support to various departments.
• Collaborating with external regulatory bodies and maintaining relationships.
• Preparing compliance reports and documentation for stakeholders.
• Delivering compliance training and awareness programmes.
• Supporting investigations and resolution of compliance incidents.

Skills

Regulatory compliance

Risk assessment

Regulatory monitoring

Advisory services

Job description

Compliance Senior Manager - Securities Firm

This role will focus on a well rounded compliance role for a well known securities firm. This permanent position requires expertise in regulatory frameworks and compliance practices to ensure organisational adherence to relevant standards.

My client is a well known securities firm with SFC License Type 1 2 4 5 6 7 9. They have over 100 staff in their HK office and are currently growing.

Description

Your main responsibilities will include:

• Developing and implementing compliance policies and procedures to meet regulatory requirements.
• Conducting regular compliance reviews and risk assessments.
• Monitoring regulatory changes and ensuring timely updates to policies and practices.
• Providing compliance advisory support to various departments within the organisation.
• Collaborating with external regulatory bodies and maintaining strong relationships with them.
• Preparing compliance reports and documentation for internal and external stakeholders.
• Delivering compliance training and awareness programmes to employees.
• Supporting the investigation and resolution of compliance-related incidents.

Profile

A successful candidate should have:

• 7+ years of compliance experience from securities firm
• regulatory compliance/compliance generalist background
• Knowledge of regulatory frameworks applicable to the Hong Kong market.
• Experience in compliance monitoring, advisory, and reporting.
• Proficiency in analysing and interpreting regulatory changes.
• Must be able to read and write chinese and speak mandarin

Job Offer

• Competitive annual salary
• Growing Firm
• Well rounded compliance role