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Senior Compliance Manager

Regal Executives Limited

  • Company Industries:Banking

Job Information

  • Post Date:2019-01-09
  • Career Level:Senior
  • Location:Central
  • Yr(s) of Exp:5 years
  • Qualification:Degree
  • Salary:Salary provided
  • Employment Type:Full Time, Permanent
  • Job Function:Financial Services  Company Secretary  Legal & Compliance  

Job Description

Our clients, Hong Kong Listed PRC Financial Institutes with Brokerage, Corporate Finance and Asset Management business are urgently looking for different levels compliance professionals to join their Legal & Compliance team.


  • Report to the Head of Legal & Compliance department, provide day to day regulatory advice as well as guidance to all business units on SFC rules and its latest updates
  • Overseeing all compliance matters related to all businesses
  • Ensure all operating units are in compliance with SFC rules and regulations
  • Collaborate with and respond to any queries and requests from SFC and other regulators
  • Develop and implement compliance programs for the company
  • Update relevant changes in regulations, industry, and other statutory requirements to the senior management
  • Ensure the conduct of the Company’s operations and business activities are all held to the highest ethical standards


  • Degree holder in laws, finance, business administration or related disciplines is required
  • Minimum of 5 years of compliance experience
  • Candidates with less experience will be considered as Compliance Manager
  • Leadership experience with efficient and effective communication skills to different levels of management
  • Fluent in English and Mandarin

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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