Compliance Manager / Assistant Manager

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Hao Tian International Finance Holdings Limited
  • 19 Mar 19

We are one of the fastest growing financial institution in Hong Kong and wholly owned subsidiary under a main board listed company. The activities include securities, futures, wealth management and asset management. Now seeking for high calibre professionals to join our dynamic team.


  • Provide support in establishing and performing all compliance function, statutory requirement to ensure full compliance with regulatory and internal control requirements
  • Handle statutory reporting, licensing applications and inquiries from regulatory bodies and conducts related investigations
  • Providing regulatory updates to licensed staff and/or arranging training to fulfill their CPT/CPD requirements
  • Support and manage margin calls for securities and futures markets
  • Coordinate with professional parties e.g. fund investors, administrator, custodian and lawyer and communicate with relevant authorities, such as SFC and Hong Kong Stock Exchange


  • Degree holder in related disciplines and with legal and compliance background
  • More than 2 years' relevant experience in financial institution or securities firm
  • Knowledge in Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance, Securities and Futures Ordinance and related regulatory requirements issued by HKMA
  • With strong sense and knowledge on regulatory requirements
  • Experience in handling Type 1, 2, 4 and 9 requested activities
  • Good command of both written & spoken English plus Putonghua
  • Immediate available is preferable
  • **Less experience will consider as Compliance Officer