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Compliance Officer, Asset Management, SFC Type 9Career Search AP (Hong Kong) Company
  • Wan Chai
  • Salary provided
  • Posted on 20 Jun 2019
Compliance Officer, Asset Management, SFC Type 9Career Search AP (Hong Kong) Company
Job Highlights
  • 5 years Compliance experience
  • experience in dealing with the SFC
  • excellent interpersonal and communication skills
Job Description

Our client is a Chinese-based SFC type 9 license Asset Management Company, which is the group’s oversea asset management and investment platform.  The investment portfolio covers equity, fixed income and structured products. The portfolio is currently managing over HKD3 billion from our parent company and external clients.


Job Description

  • Identify and evaluate compliance risks of the operations and business activities
  • Responsible for the overall compliance and regulatory framework
  • Ensure all investment guidelines are properly implemented/recorded
  • Monitor the development of regulatory changes to ensure the company policies and procedures are in line with updated regulatory requirements.
  • Work closely with operations team and frontline to ensure proper reporting to regulator
  • Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
  • Deliver in-house compliance training to the business unit and advice to the management

Job Requirements:

  • Hold a university degree, preferably in finance / accounting / business / legal discipline
  • 4 - 5 years of compliance-related experience in the securities industry
  • Mature, responsible, independent and self-initiated team player
  • Possess excellent communication and interpersonal skills
  • Proficiency in Mandarin and English
  • Short notice is preferred

Welcome to call Mr. Lam by 39746110 for confidential discussion and send CV to me with current & expected salary and notice period. 

Additional Information
Career Level
Years of Experience
5 years
Employment Type
Full Time, Permanent
Five-day work week, Life insurance, Medical insurance, Performance bonus
Company details

As the leading total talent solutions provider in Asia, Career International has over 2,000 professional recruitment consultants working in more than 60 offices in mainland China, Hong Kong, India, Singapore and other regions , offering executive search, recruitment process outsourcing (RPO), flexible staffing, sales & marketing outsourcing, campus recruitment, training and talent acquisition consulting etc for customers across 18 fields and industries. In the past 19 years, we have established long-term cooperation with over 2,000 multinational corporations, domestic listed companies, fast-growing companies and non-profit organizations. Over the past year alone, we have successfully recommended more than 20,000 senior management, professional and technical employees, and over 20,000 times of total-risk flexible staffing. For more information, please visit

Stock Code: 300662