Compliance Assistant Manager / Manager - Securities Brokerage

  • Competitive Package + Discretionary Bonus
  • Hong Kong
  • Permanent, Full time
  • One Arrow Consulting
  • 22 Mar 19

Our client is a fast-growing local financial firm who is looking to further expand in 2019. They are currently looking for a high calibre candidate who is looking to step up from the current position and a new challenge in 2019 to join their team.


  • Reporting to General Manager, assist in developing Internal Control Policy including AML Control, Customer Acceptance Policy, Staff Dealing
  • Responsible for developing and reviewing the policies & procedures to ensure compliance with latest statutory and regulatory requirements
  • Perform internal review to ensure the dealing activities, business and operations are in compliance with regulatory requirements such as transaction Monitoring
  • Liaise with regulators on handling licensing matter and inquiries


  • Undergraduate degree holder in Law, Risk Management, Accounting, Finance or related disciplines
  • At least 1-2 years general compliance experience
  • Good knowledge of the SFO, SFC codes and Guidelines and the HKEx Rules and Regulations
  • Detail minded, Independent, efficient and high accuracy in work
  • Strong analytical, problem solving, presentation and communication skills to interact with all levels of stakeholders
  • Excellent command in spoken and written English and Chinese