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Manager, ComplianceKim Eng Securities (HK) Ltd
Manager, ComplianceKim Eng Securities (HK) Ltd
Job Highlights
  • Review the adequacy of the internal control
  • Develop new policies and manual for compliance
  • Conduct regular compliance checking
Job Description


  • Review the adequacy of the internal control and corporate governance of business process/operation vis-a-vis the identified high compliance risk areas and recommend for improvement
  • Develop new policies and manual for compliance and corporate governance purposes
  • Conduct regular compliance checking at front, middle & back offices functions
  • Develop and promote risk-based tools/monitoring systems and maintain the AML related database for the Company
  • Conduct investigation on suspicious transactions reported by frontline staff or identified from the course of review of AML exception reports and report suspicious cases to Management & regulators
  • Conduct transactions monitoring and AML investigations in liaison with external and internal parties
  • Develop and conduct internal AML training sessions
  • Maintain and update AML/compliance framework, policies, guidelines and procedures compliant with internal and external regulatory requirements
  • Support in ensuring all applicable laws, regulations and internal policies and procedures are complied with
  • Assist in training and updating all staff regularly on latest developments
  • Assist the Department Head in handling enquiries from regulators and other ad hoc projects



  • Degree holder in Law, Accounting, Finance or related disciplines, preferable with professional qualification in Law/Accountancy/Finance
  • Minimum 5 years of compliance experience in securities/futures brokerage industry
  • Knowledge in formulating compliance checking procedures and conduct compliance checking
  • Knowledge in SFC, HKEx regulations and other regulatory requirements in relation to corporate finance, dealing in securities, dealing in futures contract and internet trading
  • A team player with strong communication and analytical skills as well as high degree of professional maturity
  • Able to work independently
  • Strong command of written and spoken English & Chinese, including Mandarin



Interested parties please send full resume with contact telephone number and expected salary to Human Capital Department, Kim Eng Securities (Hong Kong) Limited at 28/F, Lee Garden Three, 1 Sunning Road, Causeway Bay, Hong Kong or via e-mail (in MSWord form)


The personal data collected in the job application will only be used by Kim Eng Securities (Hong Kong) Limited, its subsidiaries and/or affiliates (Maybank Kim Eng Group) internally to assess your suitability to assume the job duties of the position for which you have applied. All personal data will be handled in strict confidence and filed with Human Resources Department.  It is the Company policy to retain the personal data of unsuccessful applicants for future recruitment opportunities for a period of maximum six (6) months, otherwise it will be destroyed.


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 Website
Company details


The Maybank Kim Eng Group of companies comprises securities and investment banking businesses stretching around the globe with offices in Malaysia, Singapore, Hong Kong, Thailand, Indonesia, Philippines, India, Vietnam, Saudi Arabia, Great Britain and the United States of America. Maybank Kim Eng has been in Asia for 40 years and provides services in corporate finance, investment banking, debt markets, equity capital markets, derivatives, retail and institutional securities broking and research.


 You can learn more about us at where we also offer internet-based securities trading.

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