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Compliance Officer / Senior Officer
Client Description

Our client is a renowned financial services group. To cope with continues growth in securities and futures division they are now urgently looking for a Compliance Officer / Senior Officer to join the team in Hong Kong

Job Description
  • Ensure company policies, internal control procedures and manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Maintain Continuous Professional Training records of licensed representatives
  • Liaise with SFC, HKEX 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, etc.
  • Develop, draft and review a broad range of legal documents, announcement, notice, board resolutions, shareholders resolutions and company secretary documents
Job Requirements
  • University degree in Law, Finance or related disciplines
  • Minimum 2 years of relevant experiences from securities firms
  • Good knowledge of the SFO and SFC codes and guidelines
  • Detail-oriented, able to work independently and mature
  • Excellent written and spoken English and Chinese (Cantonese)
Banking / Finance
Employment Type
Salary Range
Yr(s) of Exp
Education Required
Kwun Tong
Post Date