Job Title

Asset Manager, Compliance – Securities Brokerage/Asset Management

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Stella Huo

99 Active Positions

Job Description


  • Update compliance policies and procedures and coordinate with business units to ensure due compliance with regulatory requirements;
  • Perform surveillance exercise on internal controls and compliance procedures to ensure full adherence with internal policies and external regulatory requirements;
  • Assist in handling licensing related matters, CPT activities and dealing with regulatory bodies, including SFC and HKEx, etc;
  • Assist in monitoring staff dealing activities and maintaining the Group’s restricted list and watch list;
  • Involve in company secretarial duties and record keeping for Group’s subsidiaries and associated entities;
  • File and monitor Disclosure of Interest notification in compliance with HKEx rules;
  • Assist in Funds setting up works by coordination with lawyers, bankers and fund administrators;
  • Handle ad hoc duties as assigned by team head from time to time.



For further information, please contact Edward at 2523 9955.



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