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VP Compliance Sales& Trading - Securities Brokerage /Investment Bank Asia Progress Executive Limited
VP Compliance Sales& Trading - Securities Brokerage /Investment Bank Asia Progress Executive Limited
Job Highlights
  • Sales & Trading compliance, securities brokerage
  • Strong in rules and regulations of the SFC andHKEx
  • KYC AML Staff Dealing CPT trade surveillance
Job Description

Our client is a PRC Securities Brokerage. To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team


VP Compliance Manager, Sales and Trading - Securities Brokerage/invesment Bank 



  • Provide advice on sales and trading business activities (both institutional and retail) to ensure compliance with relevant rules and regulations in daily operations and new business initiatives
  • To enforce the best market practice within the sales and trading business activities
  • To implement internal policies and procedures to ensure business activities comply with the relevant rules and regulations
  • To identify, resolve and escalate compliance risk on a timely manner
  • To handle matters on KYC and AML, to implement controls over KYC and AML in order to comply with all relevant rules and regulations and market’s best practice
  • To perform daily surveillance over business activities and perform any investigation if necessary



  • Degree holder in business related discipline
  • Minimum 7 years of compliance experience  in Securities Brokerage & exp in Sales and Trading business  
  • Prior working experience in SFC is an advantage
  • Familiar with the market practice in sales and trading business and AML
  • Familiar with using trade surveillance system and transaction monitoring system
  • Proficiency in written and spoken Mandarin, English and Cantonese
  • Excellent knowledge relevant rules and regulations of the SFC and HKEx
  • Good interpersonal and communication skills
  • Strong analytical skills and able to work independently


Please send full resume with present & expected salary to expedite sourcing in MS-WORD format by clicking “APPLY NOW

Please quote our reference in your application

Personal data provided by job applicants will be used strictly in accordance with the employer’s personal data policies, a copy of which will be provided upon request

All information provided will be used for recruitment purpose only



Additional Information
Years of Experience
7 years
Employment Type
Full Time
Company details

Asia Progress is a well-established and reputable boutique talent acquisition agency specialising in the Banking & Finance industry. We firmly believed in providing exclusive and bespoke talent search to our clients and career advice to our candidates. 

Equipped with solid experience in recruiting for all levels, we have successfully developed an established and renowned practice. Our reputable network in the Banking & Finance industry is what makes us stand out from our competitors and enables us to remain competitive yet at the same time providing professional talent search and career advice.

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