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Compliance Manager

Regal Executives Limited

  • Company Industries:Information Technology

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 Corporate, Financial Institutes, Fintech and Professional Services industry.

Regal covers the search and selection of Asset Management, Brokerage, Corporate Finance, Listed Corporate, Professional Services, Fintech, Finance Company, Family Office, Insurance Company, Private Equities, Venture Capital, Private Banking, Wealth Management.

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