Compliance Manager (MIC) - Multi-Strategy Financial Group

by Chloe Lo in Financial Services
Hong Kong


One of my multi-strategy financial group clients in Hong Kong is looking for a high caliber to join their legal & compliance team.


  • Monitoring business operation of SFC licensed corporates of the Group and conducting AML / KYC / Compliance checking to ensure compliance with internal policies and external regulations
  • Providing compliance and regulatory advice and ensuring that all compliance and regulatory requirements with SFC type 4, type 6 and type 9 license


  • Bachelor\\\'s Degree holder in finance, risk management, law or other related disciplines is preferable
  • 6 years or above experience of compliance experience in licensed corporations with exposure to dealing with the regulator
  • Experience in securities or brokerage firm is an advantage 
  • Familiar with Securities & Futures Ordinance, related codes and guidelines issued by SFC, AML/ KYC, and other relevant laws and regulations

Chloe Lo

Chloe Lo

For more information about this job opportunity please contact our consultant.

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