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Senior Compliance ManagerRegal Executives Limited
  • Central
  • Salary provided
  • Posted on 16 Nov 2019
Senior Compliance ManagerRegal Executives Limited

Job Highlights

  • At least 5 years of compliance experience
  • Attractive Package
  • Leadership experience with efficient

Job Description

Our clients, Hong Kong Listed PRC Financial Institutes with Brokerage, Corporate Finance and Asset Management business are urgently looking for different levels compliance professionals to join their Legal & Compliance team.


  • Report to the Head of Legal & Compliance department, provide day to day regulatory advice as well as guidance to all business units on SFC rules and its latest updates
  • Overseeing all compliance matters related to all businesses
  • Ensure all operating units are in compliance with SFC rules and regulations
  • Collaborate with and respond to any queries and requests from SFC and other regulators
  • Develop and implement compliance programs for the company
  • Update relevant changes in regulations, industry, and other statutory requirements to the senior management
  • Ensure the conduct of the Company’s operations and business activities are all held to the highest ethical standards


  • Degree holder in laws, finance, business administration or related disciplines is required
  • Minimum of 5 years of compliance experience
  • Candidates with less experience will be considered as Compliance Manager
  • Leadership experience with efficient and effective communication skills to different levels of management
  • Fluent in English and Mandarin

Additional Information

Career Level
Years of Experience
5 years
Employment Type
Full Time, Permanent

Company Overview

Regal Executives, a market leader in Executive Search and Recruit Solutions industry, providing best-in-class talent acquisition and human resources management services focusing on Corporate, Financial Institutes, Fintech and Professional Services industry.

Regal covers the search and selection of Asset Management, Brokerage, Corporate Finance, Listed Corporate, Professional Services, Fintech, Finance Company, Family Office, Insurance Company, Private Equities, Venture Capital, Private Banking, Wealth Management.

Additional Company Information

Benefits & Others
Five-day work week, Performance bonus

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