VP, Compliance, Chinese Asset Management Firm

  • Attractive remuneration package
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Achievers Recruitment Limited
  • 23 Sep 18 2018-09-23

Our client is leading Chinese financial services Group listed in Hong Kong and China covering Brokerage, Loan and Financing, Investment Banking, Asset Management and Proprietary Trading. They are close to 160 staffs in Hong Kong office.


  • Responsible in answering enquiries and questions raised by the regulatory bodies / agencies and dealing with HKEX, SFC, IA and other regulatory organizations for all compliance and licensing matters
  • Oversee the central compliance functions, including staff training, CPT monitoring, reporting functions etc
  • Conduct internal investigation regularly and prepare related reports and analysis to headquarters
  • Ensure company policies, internal control procedures and manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Provide compliance advice to different business units
  • Handle other ad-hoc compliance related projects



  • Bachelor degree in Law, Accounting, Finance or related discipline(s)
  • At least 6 years’ relevant experience in Securities Industry, exposure to PRC financial institutions is preferred
  • Experience in handling Type 1, 4 and 9 required activities
  • Comprehensive knowledge of SFO, SFC codes and Guidelines, AML Regulations, and the HKEX Rules and Regulations
  • Proficiency in spoken and written English and Chinese, including Mandarin
  • A mature team player with strong communication and analytical skills


Interested parties please send your resume to cv-fs@achievers.com.hk

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