SEEK Asia Style Guide

Compliance ManagerThe Core Securities Company Limited
  • Central
  • Salary negotiable
  • Posted on 14 Nov 2019
Compliance ManagerThe Core Securities Company Limited

Job Highlights

  • Ensures company is in compliance with regulations
  • Provide guidance on matters relating to compliance
  • Familiar with local laws and SFC rules

Job Description

This position functions as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The position ensures the management and employees are: (i) in compliance with the rules and regulations of regulatory agencies, (ii) that company policies and procedures are being followed, and (iii) that behavior in the organization meets the company’s standards of conduct. This position will include the development, supervision and monitoring of compliance programs, compliance testing audit, customer complaints and resolution programs.

PRIMARY RESPONSIBILITIES (include, but are not limited to)

  • The Compliance Manager acts as staff to the Chief Executive Officer and Executive Management Team by monitoring and reporting results of the compliance/ethics efforts of the company and in providing guidance for the senior management team on matters relating to compliance. The Compliance Manager, together with the Executive Management Team, is authorized to implement all necessary actions to ensure achievement of the objectives of an effective compliance program.
  • Develops, initiates, maintains, and revises policies and procedures for the general operation of the compliance program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the compliance program.
  • Develops and periodically reviews and updates standards of conduct to ensure continuing currency and relevance in providing guidance to management and employees
  • Collaborates with other departments (e.g., Human Resources, Finance, Legal, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with legal counsel as needed to resolve difficult legal compliance issues
  • Responds to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.
  • Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated, investigated and resolved
  • Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
  • Manage customer complaint process and conduct analysis on trends regarding compliance and regulatory activity. 
  • Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future
  • Provides reports on a regular basis, and as directed or requested, to keep the senior management informed of the operation and progress of compliance efforts
  • Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required
  • Establishes and provides direction and management of a compliance “hotline”
  • Institutes and maintains an effective compliance communication program for the organization, including promoting (a) use of such compliance hotline; (b) heightened awareness of standards of conduct, and understanding of new and existing compliance issues and related policies and procedures
  • Works with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
  • Monitors the performance of the compliance program and relates activities on a continuing basis, taking appropriate steps to improve its effectiveness



  • Maintains professional and technical knowledge by attending educational workshops; reviewing professional publications; establishing personal networks; participating in professional societies.
  • Contributes to team effort by accomplishing related results as needed.
  • Any other responsibilities as directed by management.



  • University degree in law, accounting, finance or related disciplines; master’s degree desired.
  • A minimum of 5 years’ experience in financial compliance, to include demonstrated leadership.
  • Must have good understanding of brokers’ operations and familiarity with investment products such as equities, collective investment scheme, derivatives, structured products, etc.
  • Must be familiar with local laws and SFC rules for regulated activities.
  • A familiarity with operational, financial, quality assurance, internal controls, and human resource procedures and regulations.
  • Must have the ability to use discretion in the controlling of confidential information. 
  • Must possess excellent time management skills, organizational and communication skills, both oral and written and present professional image and be strongly customer-oriented.
  • Must be able to plan, prioritize, delegate, and follow through to successful completion, all assignments and ability to work effectively with minimum direction and supervision. 
  • Must be able to coach and develop employees.
  • Must maintain compliance with policies and procedures, and maintain adherence to safety/security rules/regulations. 
  • Must have a strong command of written and spoken English and Chinese.  Fluency in spoken Putonghua is required.
  • Ideal candidate has CPA and/or legal background.
  • Due to the nature of our business a successful pre-employment background check is required.



  • Must be able to travel– 20%-40%

Additional Information

Career Level
Years of Experience
5 years
Employment Type
Full Time

Company Overview

The Core Securities Company Limited understands the importance of providing professional wealth management solutions to our clients, The Core Securities combines personalized approach, in-depth expertise, and financial planning tools and resources to build and protect your wealth. Our global market team has a wealth of knowledge, resources, and solutions for all investors. Through our accredited professional advisors, our clients benefit from the expertise of our capital market research, global portfolio advisory, and wealth management services.


Whether you are building on your existing wealth, protecting your family’s financial security, or thinking about your legacy to the next generation, The Core Securities offers a complete array of wealth management services, products and solutions to meet your needs. Trust in our proven expertise to build a wealth management strategy uniquely designed to help you achieve your financial objectives for today and tomorrow.

Additional Company Information

Benefits & Others
Dental insurance, Five-day work week, Medical insurance, Performance bonus

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