Compliance Manager

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Guosen Securities (HK) Financial Holdings Co Ltd
  • 12 Oct 17 2017-10-12

Guosen Securities (Hong Kong) Financial Holdings Co., Ltd, registered in Hong Kong, is a wholly-owned subsidiary of Guosen Securities Co., Ltd., one of the top ranked financial institution for securities trading and stock listing offers in China. To cope with the Company's rapid expansion, we invite high caliber personnel to fill the following position:


  • Monitor trade surveillance function of the licensed corporations and carrying out the relevant compliance checking at front, middle & back offices functions
  • Assist in drafting and/or reviewing policies and procedures
  • Assist in drafting compliance checking plan, programme, checklists and reports
  • Conduct compliance review, checking and assessments
  • Deliver compliance trainings
  • Perform ad hoc projects as required



  • Degree holder in Finance, Accounting, Law, Business, Economics or other related disciplines
  • Minimum 5 years of compliance experience at financial institutions holding SFC license
  • Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements
  • Good command of written and spoken English and Chinese, fluency in Putonghua
  • Independent, self-initiative and good interpersonal skills
  • Candidates with more experience may be considered to be Senior Compliance Manager


Attractive remuneration will be offered to the right candidate.  Interested parties please email your full resume with present & expected salary and date of availability to



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