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Senior Compliance Manager (Asset Management)TC Concord Securities Limited
Senior Compliance Manager (Asset Management)TC Concord Securities Limited
Job Highlights
  • Minimum 3 years of compliance experience
  • Provide a full-spectrum of legal advice
  • Perform KYC checks
Job Description

Job Responsibilities:

  • Provide a full-spectrum of legal advice and support to the business of private equity and asset management
  • Draft, review and negotiate (and update, if necessary) the relevant legal documentations (such as shareholders’ agreement, fund formation documentations, etc.), policies and procedures;
  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies;
  • Identify, measure and assess investment risk in different investment strategies and projects and provide possible solutions or remedies;
  • Carry out compliance work on the company’s operations & systems and prepare reports for management decisions;
  • Respond to enquiries from regulatory bodies such as the SFC and/orHKEx;
  • Perform KYC checks and reviews for clients and counterparties

Job Requirements:

  • Degree holder or above in Law, Business, Finance or related disciplines
  • Minimum 3 years of compliance experience in financial Trust, Legal industries
  • Good knowledge in SFO, its subsidiary rules and other SFC codes and guidelines
  • Strong communication and analytical skills
  • Good command of written English and Chinese
  • Mature, responsible, independent and self-initiated team player
Additional Information
Years of Experience
3 years
Employment Type
Full Time, Permanent
Dental insurance, Five-day work week, Medical insurance, Performance bonus
Company Website
Company details

TC Concord Securities Limited (CE No. ACS694) (hereinafter referred to TCCS) was founded in 1994. The Company held equity transfer in July 2017, North Kingdom International Group Co., Limited holds 100% shareholding of TCCS & TCCAM.

TCCS and TCCAM is a registered and license corporation with the Securities and Futures Commission engaging in the Financial Industry.


To cope with our Greater China expansion plan and to strengthen our business operations, we invite high caliber professionals to join us.