Compliance Director (SVP)

Mandurah Consultancy · Hong Kong, Hong Kong Island, Hong Kong

Location

Hong Kong

Job Type

Full-time

Posted

July 01, 2026

Job Description

Description:
 : Our client is an expanding listed investment firm with significant growth and excellent business plans for success in the coming future. They do various business including securities, asset management, corporate finance, etc. (SFC licensed activities #1, 2, 4, 6 & 9) 
Report to the Chief Legal & Compliance Officer and supervise a team of 3 subordinates to effective the day-to-day compliance activities for the businesses of Corporate Finance and Asset Management
Oversee all compliance related matters as well as provide professional regulatory advice to all BUs and departments to ensure the regulatory compliance with SFO and other relevant regulations
Liaise with HKEX, SFC and relevant regulatory bodies for all compliance and licensing matters as well as identify and evaluate compliance risks of the operations and business activities
Establish and maintain compliance policies, procedures and manuals for all busines...
        

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