Compliance - Manager/Assistant Manager/Senior Associate 


  • Conduct client onboard review, transaction monitoring, trading surveillance and due diligence checking
  • Perform KYC/AML checks and ongoing AML/CTF screening and monitoring
  • Provide AML and Compliance advice to related internal parties on existing and new regulation requirement and implement action plan
  • Assist in handling daily compliance tasks
  • Review and ensure the operational procedure comply with rules and regulations
  • Participate in ad hoc projects


  • Degree holder in Law/Accounting/Finance or other related disciplines
  • Relevant working experience in compliance field, exposure on SFC Type 2 licenses will be a definite advantage
  • Familiar with SFC rules and regulations, knowledge of overseas compliance requirements will be a definite advantage
  • Strong reading and writing skills, with ability to interpret the rules correctly and suggest action plan to satisfy compliance requirements
  • Excellent commend in both spoken and written English and Chinese
  • Detail-oriented and have good sense of confidentiality
  • Fresh Graduate with strong sense of responsibility and eagerness to learn will be also be considered as Associate

Career Level: Middle

Yr(s) of Exp: 3 – 5 years

Qualification: Degree

Industry: Financial Services

Job function: Professional Services > Legal & Compliance

Location: Quarry Bay

Employment Type: Full Time

Benefits: Dental insurance, Double pay, Five-day work week, Life insurance, Medical insurance


Manager - Commercial Business


  • Achieve revenue targets through acquiring new accounts, growing and retaining assigned portfolio of clients
  • Identify hedging, risk management and delivery need of commercial clients
  • Provide market research, industry intelligence and hedging advise
  • Willing to travel to build and maintain a constructive relationship with commercial clients


  • University graduates in Banking / Finance / other related discipline
  • Minimum 3 years solid experience in sales and consumer relationship building, knowledge in various industries (metal, energy or soft commodities) is a must
  • Proven sales track record and strong understanding on futures and options strategy
  • Concrete experience in corporate account handling and customer service
  • Good command of written and spoken English and Chinese (including Putonghua)
  • Excellent interpersonal, communication, presentation and negotiation skill
  • Positive mindset, result oriented, high level of initiative and integrity
  • Good network with commercial customers in Asia

For interested parties, please send your CV and expected salary to this email address:, thank you!