Senior Compliance Manager/ Manager

Guotai Junan (Hong Kong) Limited
Hong Kong
11 Aug 2017
21 Aug 2017
Contract Type


Structured Product and Conflict Management

  • Advise business management and information technology on rules and regulations applicable to the cross-asset class electronic trading platforms;   
  • Interact with compliance peers on line-of-business specific compliance issues related to the development/rollout of systems and other electronic trading matters;  
  • Work directly with senior technology and business management to manage the development and maintenance of business and compliance policies and procedures related to relevant rules and regulations, system controls and testing;   
  • Strategize post implementation review and testing of technology rollouts and enhancements;   
  • Identify needs and deliver relevant training to technology and front-office personnel;
  • Assist in project management, e.g. E/Trading; and
  • Provide support and back up to Central Compliance.

Regulatory Enquiry & Trade Surveillance

  • Assist the development and maintenance of surveillance system/platform set up;
  • Handle SFC enforcement / surveillance enquiries from regulators (SFC and HKEX)/upstream service provider e.g. Citibank (over 350 cases throughout the year) and liaise with different parties;
  • Handle professional investor and suitability assessment for clients;
  • Handle miscellaneous tasks / ad-hoc projects for business such as support business unit to apply relevant licence application (ETF Market Maker Licence for Derivatives Department), review traders blogs corner in corporate website, annual submission of BRMQ for licensed group companies, handle enquiries/requests from regulators, etc.;
  • Review on daily dealings disclosure reports (Takeover Code Rule 22) and perform independence check for Corporate Finance Department Projects;
  • Support business for outside accounts maintenance for the group (bank/brokers accounts) and banking facilities applications;
  • Prepare board resolutions for different business units such as Finance Department for bank accounts matters;
  • Develop knowledge especially regulatory updates  to give constructive advice to different parties;
  • Review work of colleagues and share experiences with others;
  • Perform trade surveillance programme to monitor suspicious transactions (e.g. wash trades) with Smarts Brokers, red flags clearance and ongoing liaise with the vendor for system maintenance /enhancement.


  • Assist MLRO to implement CDD program;
  • Handle account opening issues (IB, EDD, DCM etc) for investment vehicles, SPV and overseas entities etc;
  • Perform routine compliance review on Customer Due Diligence/Client Identity Rule implementation on GTJAS/GTJAF;
  • Review ongoing CDD update / professional investors renewal;
  • Review Enhanced Due Diligence (“EDD”);
  • Handle Common Reporting Standard (“CRS”) project;
  • Review and update KYC/CDD documentation; and
  • Handle enquiry from IA regarding CDD issues.


  • University degree holder in Finance or related discipline, advanced degree (JD or MBA) a plus;
  • Minimum 5 years' Compliance experiences in financial institutions with at least 2-3 years in a supervisory role;
  • Well-versed with SFO and/or AMLO relevant regulations, specifically relating to Electronic Trading regulations / KYC and AML;
  • Well-versed with HKEX exchanges & clearinghouses rules;
  • Exposure in Vendor/DMA/Algo trading due diligence and project management;
  • Experience in dealing with regulatory enquiry, inspection and investigation from SFC and HKEX;
  • Exposure in enhanced customer due diligence, SPV on-boarding, professional investors regime etc.;
  • Good product knowledge (Securities, Futures and Derivative Product etc) is preferred;
  • Experience in SmartsBroker trade surveillance system an advantage;
  • Good Analytical and problem solving skills;
  • Able to work in a team environment and deal with multiple stakeholders;
  • Able to work under pressure and multi-tasking; and
  • Proficiency in both written and spoken English and Chinese, fluency in Putonghua is a must.

We offer an attractive remuneration package to the right candidate. Interested parties please forward your full resume with availability, expected salary to or simply send it to 27/F., Low Block, Grand Millennium Plaza, 181 Queen's Road, Central, Hong Kong.

(Data collected will be kept strictly confidential and used for recruitment purpose only.)