Compliance Senior Manager - Securities Firm

Michael Page; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

Michael Page in Hong Kong is recruiting a senior compliance professional for a well known securities firm. You will lead the development and implementation of compliance policies, conduct risk assessments, monitor regulatory changes, and provide advisory support across departments.

The ideal candidate has 7+ years of securities compliance experience, strong knowledge of Hong Kong regulatory frameworks, and fluency in Chinese with Mandarin speaking ability.

Qualifications

• Bachelor degree required.
• 7+ years of compliance experience from a securities firm.
• Regulatory 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.

Responsibilities

• 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.

Skills

Compliance experience

Regulatory compliance

Monitoring & reporting

Advisory

Regulatory updates

Chinese reading/writing

Mandarin speaking

Education

Bachelor degree

Job description

About Our Client

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.

Job 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.

The Successful Applicant

A successful candidate should have:

• bachelor degree
• 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

What's on Offer

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