Associate, Regulatory and Asset Management Compliance Associate, Regulatory and Asset Management  …

GF Holdings (Hong Kong) Corporation Limited
in Hong Kong
Permanent, Full time
Last application, 22 Jan 21
GF Holdings (Hong Kong) Corporation Limited
in Hong Kong
Permanent, Full time
Last application, 22 Jan 21
Posted by:
Sherry Au Yeung • Recruiter
GF Holdings (Hong Kong) Corporation Limited
Posted by:
Sherry Au Yeung
The candidate will have excellent exposure to the asset management business and group level compliance projects, represent Compliance in asset management related projects and handle regulatory tasks relating to the Mainland and Hong Kong. Ample opportunities are available for strong performer in this position to further develop his or her career in senior Compliance roles.


  • Provide compliance advice to licensed and non-licensed companies of the group with primarily focus of asset management business
  • Develop and enhance compliance policies and procedures and monitoring their effective implementation
  • Handle Control Room functions such as staff declarations on personal account trading and outside engagement and post-transaction monitoring of staff trading according to the internal policies of GFHD and its subsidiaries
  • Manage and facilitate smooth, accurate and timely communications with headquarter and other internal stakeholders
  • Prepare regular and ad hoc compliance management reports
  • Key person to handle requests from headquarter and asset management business
  • Handle regulatory requests such as reporting, inquiries, investigations and inspections and ensure smooth, accurate and timely communication with regulators
  • Develop, implement and execute the compliance training program
  • Perform compliance monitoring and compliance assessment
  • Act as project lead or Compliance representative for tracking of training progress and maintaining compliance systems and database.
  • Handle SFC and Insurance Authority of Hong Kong licensing matters (including continuous obligations) for companies and individuals
  • Disseminate latest regulatory requirements to relevant business and support units and follow-up with the respective units on implementation plan, if required
  • Develop and provide compliance training


  • Strongly self-motivated, quick learner and able to work independently in highly dynamic environment
  • Strong analytical and Chinese writing skills, in particular, formal report drafting
  • Fluent spoken Mandarin and English
  • Degree holder in law, finance, accounting, corporate governance or related disciplines
  • 3-5 year experience in control function of asset management business and well understanding of FMCC requirements
  • Experience of Type 6 licensed Chinese financial institutions or regulators a strong plus

Note: Candidate with less than 3-year experience could apply for Analyst position.

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 clicking "APPLY NOW".

Further information about our group companies can be found at and

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

Company Overview

GF Holdings (Hong Kong) Corporation Limited (“GF Holdings (HK)”) is a wholly-owned subsidiary of GF Securities (Stock code 000776.SZ & 1776.HK), responsible for managing and planning the business of all Hong Kong-based wholly owned subsidiaries of GF Securities. We provide full-range cross-border securities and financial services for customers by fully utilizing the brand, business and network advantages of GF Securities.

Established in 1991, GF Securities is one of the first, full-service securities companies in China. We provide comprehensive, industry leading capital market services for high-net-worth individuals and outstanding small and medium sized enterprises throughout China. GF Securities operates 264 brokerage branches, providing extensive services to cities and autonomous regions of 31 provinces throughout China.

GF Holdings (Hong Kong) Corporation Limited logo
More Jobs Like This
See more jobs