Zhongrong PT Securities Limited

Compliane Manager/Senior Compliance Manager

Zhongrong PT Securities Limited
Salary negotiable
Posted on 26 Sep 2020

Compliane Manager/Senior Compliance Manager

Zhongrong PT Securities Limited

Job Highlights

  • Good knowledge in financial market regulations
  • Manage and liaise with SFC
  • At least 4-5 years experience in a securities firm

Job Description


  • Supervision of compliance of all business activities, identify and evaluate compliance risks and provide alternative solutions;
  • Provide day to day regulatory advice and guidance on rules and internal policies including AML and its latest updates, review business processes to ensure compliance with regulatory requirements;
  • Update and maintain compliance policies and manuals of the business units as necessary on ongoing basis;
  • Deliver in-house Compliance training to business units;
  • Manage relationship with regulatory bodies, including SFC and HKEX, etc., handle queries and requests;
  • Co-ordinate and manage ad-hoc compliance related projects and tasks.


  • Degree holder in Law, Finance or other related disciplines;
  • Minimum 4-5 years of relevant compliance experience gained within securities industry;
  • Good command of spoken and written English, Cantonese and Mandarin;
  • Strong presentation and communication skills;
  • Self-motivated, well-organized, able to work under pressure and have good team spirit.

Interest parties please send your full resume including your current salary, expected salary and availability by clicking "APPLY NOW".

**Data collected will be used for recruitment purpose only.

Additional Information

Career Level
Not Specified
Years of Experience
5 years
Job Type
Full Time, Permanent

Company Overview


Zhongrong PT Securities Limited is principally engaged in the provision of a wide range of financial services including brokerage, futures, sales and trading, etc. Our group parent company, Zhongrong International Trust Co., Limited, is ranked as one of Top 5 Trust Companies in mainland China. To cope with our business growth and expansion, we are looking for high caliber candidates to join our dynamic team.

Additional Company Information

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