• competitive package
  • Hong Kong
  • Permanent, Full time
  • Recruitment Intelligence Consultants Limited
  • 17 Oct 18

A global institutional brokerage house is looking for an outstanding compliance professional to join as Compliance Manager. The position is based in Hong Kong.

  • Global Institutional Brokerage
  • Excellent Exposure

Our client is an international firm and they are currently seeking an outstanding compliance professional to be part of their growing business.

Responsible for the maintenance of a strong compliance culture in the Hong Kong office by developing and maintaining compliance and risk control program infrastructure that identify, measure and monitor compliance and risk with applicable laws, regulations and rules that govern the business.  Provide expertise on compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm’s compliance control environment.  Advise the business on the changes in rules, regulations and policies; review procedures to ensure controls and surveillance in place are effective to meet regulatory and risk control requirements. Liaise  with the relevant local regulators to ensure regulatory inquiries and requests are met.

To qualify for the position, you should be a Degree holder with around 8 to 10 years of compliance or audit experience in retail banks or brokerage firms. Sound knowledge in rules and regulations. Independent. Excellent in English and Chinese.

Interested applicants should send a detailed resume to Michelle Ho by email to or by fax to (852) 2838 3323 quoting reference eFC2970.

(Applicants not contacted within 4 weeks should consider their application unsuccessful.)