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Compliance Manager

Regal Executives Limited

  • Company Industries:Banking

Job Information

  • Post Date:2019-01-09
  • Location:Central
  • Yr(s) of Exp:0 years
  • Salary:Salary provided
  • Employment Type:Full Time, Permanent
  • Job Function:Financial Services  Company Secretary  Legal & Compliance  

Job Description

Our clients, a Top-tier PRC Financial Institute with SFC licenses is currently looking for a Compliance Manager to join their expanding team.


  • Cover Asset Management, Brokerage and/or Corporate Finance business;
  • Responsible for compliance reviewing on investment products;
  • Provide advisory services to business units on compliance and legal related matters;
  • Liaise with SFC and other regulators;
  • Responsible for all licenses application;
  • Update operating manuals and ensure the processes are in compliance with regulatory guidelines and internal policies;
  • Drafting and managing the roll out of compliance policies, procedures, guidelines and any associated training requirements.


  • At least 3-5 years of compliance experience in Banking & Finance Industry, Extensive knowledge of financial service regulatory and licensing requirements;
  • Good Command of Chinese and English (including Putonghua);
  • A strong team player with excellent inter-personal and communication skills.
  • Candidates with less experience will be considered as Officer;

All personal data collected will be kept in strict confidence and would only be used for recruitment purpose only. 


Company Info

Regal Executives, a market leader in Executive Search and Recruit Solutions industry, providing best-in-class talent acquisition and human resources management services focusing on the Banking and Finance sector.

Regal is currently the search arm of Multi-National Banks and Financial Institutes, covering Asset Management, Brokerage, Corporate Finance, Corporate Banking, Wealth Management, Private Banking, Insurance and Financing.

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