Can't find your job on the list?
Compliance Officer (Securities Brokerage)-EW
Client Description

Our client is a renowned listed securities brokerage company. To cope with continues growth they are now urgently looking for a Compliance Officer to join the team in Hong Kong

Job Description
  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Provide staff training related to compliance guidelines and requirements
  • Liaise with SFC and regulators for any inquiries and requests
  • Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy
  • Keep abreast of new regulatory requirements published by SFC and FATCA etc.
Job Requirements
  • Degree in Law, Finance or related disciplines
  • At least 3 years of relevant experiences in financial industry (securities firm preferred)
  • Good knowledge of the SFO and SFC codes and Guidelines
  • Detail-oriented, mature and able to work independently
  • Good in English, Cantonese and Mandarin
Job ID
Banking / Finance
Employment Type
Salary Range
HK$ 30000 - 60000
Yr(s) of Exp
Education Required
Post Date