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Compliance Manager, Licensing

  • Location: Hong Kong
  • Salary: Negotiable per annum
  • Job Type:Permanent

Posted 12 months ago

  • Sector: Legal & Compliance
  • Function: Legal
  • Contact: Calvin Chan
  • Start Date: ASAP
  • Expiry Date: 02 June 2023
  • Job Ref: JN -032023-477760

My client, a regional investment bank is looking for a Compliance Manager to join the licensing team.


  • Handle SFC licensing matters (including RO, Sponsor Principal, MIC & RA)
  • Work closely with senior management for licensing issues and advise on licensing inquiries for all levels
  • Assist in the implementation of the new compliance system to comply with the latest regulatory requirements
  • Update Compliance documentation including Compliance notices and policies


  • Degree holder with at least 5 years of experience in compliance/audit in financial industry or financial services regulatory body
  • Sound knowledge of the Securities & Futures Ordinance, SFC licensing matters, rules and regulations
  • Fluent in English and Chinese (Cantonese and Mandarin)

Please feel free to contact Calvin Chan at for more information or apply for the job.

Argyll Scott Asia is acting as an Employment Agency in relation to this vacancy.