Associate, Compliance (Regulatory Compliance)- Securities Brokerage - Asia Progress Executive Limited - Hong Kong Island

Job Highlights
Deg 2 yrs in Compliance in Regulatory SFC
Knowledge in rules; codes; guidelines by SFC
compliance surveillance;Compliance control & risk
Job Description

Our client is a Securities Brokerage /Investment Banking .To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team

Associate, Compliance (Regulatory Compliance) - )- Securities Brokerage


Handle SFC enquiries and S181, S182 & S183 investigations by the SFC, and investigations/ enquires from other authorities
Design compliance surveillance programs and conduct compliance monitoring/ reviews and ad-hoc investigations (including investigations of suspicious activities/ transactions). Report non-compliance issues noted and suggest remedy/ resolution and/or related compliance improvement plan
Liaise with business, operations and risk management units, auditors and regulatory authorities on compliance related matters/ issues
Perform follow-up reviews/ checks to ensure that findings/ issues identified by regulators, external auditors and internal auditors are promptly rectified, and recommendations from them (and agreed by company) are implemented on a timely basis
Review training materials to determine whether the related seminars are CPT/ CPD eligible or not
Prepare and establish compliance policies & procedures (“P&P”) and related guidelines, and (ii) review and comment on P&P, marketing materials, advertisements, etc. prepared by other departments/ business units, to ensure compliance with applicable internal; legal and regulatory requirements
Keep abreast of the latest legal and regulatory requirements that apply to company and promote compliance awareness and compliance culture of company (by preparing compliance training materials, conducting compliance training, etc


University degree in Accounting, Business, Law or related discipline
At least 3 years solid working experience in financial services industry with compliance and audit big 4 background / risk management / internal control experience or with regulatory authorities
Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance review and investigations
Good understanding of rules, codes and guidelines issued by SFC, IA and other regulatory authorities
Able to handle multi-tasks independently and work under strictly tight deadlines and pressure
Strong logical and analytical skills in problem solving
Strong ethics, integrity and enthusiasm
Good leadership, excellent interpersonal, communication and presentation skills
Good command of both written and spoken English and Chinese (including Mandarin)

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Additional Information
Career Level
Years of Experience
5 years
Job Type
Full Time
Job Functions
Accounting, Audit, Banking / Finance, Equities / Capital Markets, Professional Services, Legal & Compliance
Company Overview

Asia Progress is a well-established and reputable boutique talent acquisition agency specialising in the Banking & Finance industry. We firmly believed in providing exclusive and bespoke talent search to our clients and career advice to our candidates.

Equipped with solid experience in recruiting for all levels, we have successfully developed an established and renowned practice. Our reputable network in the Banking & Finance industry is what makes us stand out from our competitors and enables us to remain competitive yet at the same time providing professional talent search and career advice.

For enquiries and contact details, please visit:

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