Our client is an expanding listed financial institution with various investment businesses.  To cope with their expansion, they are now looking for potential incumbent with attractive package for the captioned opening.

  • Oversee all compliance related matters as well as provide professional regulatory advice to all BUs and departments to ensure the regulatory compliance with SFO and other relevant regulations
  • Liaise with HKEX, SFC and relevant regulatory bodies for all compliance and licensing matters as well as identify and evaluate compliance risks of the operations and business activities
  • Establish and maintain compliance policies, procedures and manuals for all business units with effective measurements for internal control purpose
  • Keep abreast of updated regulations and take initiative approach to advise the updates and drive for necessary changes to the BUs and departments
  • Undertake ad hoc assignments or projects as required


  • Bachelor Degree holder in Accounting, Finance, Business or relevant disciplines
  • 8+ relevant experience in Compliance function, in which at least 2 years gained for securities business
  • Familiar with securities, futures, and asset management operations
  • Hands-on and able to work independently with excellent presentation and social skills
  • Good in Chinese Word Processing
  • Good in both written and spoken Chinese and English

To apply for this job please visit www.mandurah.com.hk.

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