Associate Director - Compliance, Legal & Compliance Department

  • Salary + Discretionary Bonus
  • Hong Kong
  • Permanent, Full time
  • China Galaxy International Financial Holdings Limited
  • 27 Jan 18 2018-01-27

Reporting to the Head of Legal and Compliance, you will be responsible for developing compliance policies and procedures and reviewing the Company’s activities to ensure adherence to regulations, advise management and the business on compliance issues and regulatory trends, acting as the liaison with the SFC and/or any other relevant regulator. You will also assume the role of Anti-Money Laundering Compliance Officer.

Key Responsibilities:

  • Assist with regulatory liaison, including meeting with the regulators, responding to regulators’ requests and inspections;
  • Provide compliance guidance and advise to management and front line staff on any compliance issues including advise on any regulatory or reputation risk in respect of new engagements/clients;
  • Follow-up on any reported complaints with the department concerned to ensure it is being addressed in a timely manner;
  • to perform trade surveillance for the equity business;
  • Review of new activities or product;
  • Undertake compliance testing and other reviews pursuant to internal policies;
  • Monitor staff’s personal account dealing;
  • Review research reports and advise on research issues;
  • Assist with conflicts disclosures and conflicts clearance;
  • Review and approve client KYC / due diligence reports;
  • Manage the wall crossing process and facilitate wall crossings;
  • Perform central compliance functions (conduct staff training / CPT monitoring / reporting functions / maintaining compliance matrixes etc.)​


  • Degree holder in Law, Finance or other related disciplines;
  • Minimum 5 years’ hands-on experience in compliance relating to Equities and general compliance matters. Exposures to other areas such as Investment Banking and Equities Research would be an advantage.
  • Well organized, self-motivated, responsible and able to work under pressure and independently.
  • Good command of spoken and written English and Chinese.

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salaries and date of availability to Human Resources Department by email.

All applications will be treated in the strictest confidence and personal data collected will be used for recruitment purpose only.