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Compliance Manager - PRC Securities Brokerage Asia Progress Executive Limited
Compliance Manager - PRC Securities Brokerage Asia Progress Executive Limited
Job Highlights
  • degree w/ 8yrs exp in compliance in securities
  • Familiar w/ SFC rules&regulations, Type1,2,4,5,6,9
  • Provide general compliance in accordance with SFC
Job Description

Our client is a PRC Securities Brokerage. To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team


Compliance Manager- PRC Securities Brokerage 


  • Manage licensing matter with SFC, and answer relevant enquires
  • Act as contact person with relevant regulatory bodies such as SFC and HKEx
  • Provide compliance advise to management and business units/back office on compliance-related issues
  • Monitor compliant handling process to ensure complaints are properly followed-up as instructed by SFC and in accordance with internal requirements
  • Draft, review and revise internal manuals, policies and procedures from compliance perspective to ensure compliance with regulatory bodies
  • Prepare and review compliance checking programmes and departmental operational procedures
  • Assist the Head of Compliance training to conduct compliance training (regular)
  • Perform ad hoc projects as requires



  • Degree holder in business related discipline
  • Minimum 8 years of related working experience in financial industry, highly prefer in Chinese securities firm
  • Strong knowledge in SFC rules and regulations in respect to Type 1,2,4,5,6 and 9 regulated activities with experience in investment banking business would be advantageous
  • Proactive, hands-on, detail-oriented, able to handle multiple tasks, and adaptability to a small team environment and high standards for accuracy and quality
  • Excellent command of written and spoken English and Chinese, fluency in Putonghua
  • Independent, self-initiative and good interpersonal skills and willing to work under pressure


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Additional Information
Years of Experience
8 years
Employment Type
Full Time
Company details

Asia Progress is a well-established and reputable boutique talent acquisition agency specialising in the Banking & Finance industry. We firmly believed in providing exclusive and bespoke talent search to our clients and career advice to our candidates. 

Equipped with solid experience in recruiting for all levels, we have successfully developed an established and renowned practice. Our reputable network in the Banking & Finance industry is what makes us stand out from our competitors and enables us to remain competitive yet at the same time providing professional talent search and career advice.

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