Posted on 2021-11-18

Assistant Compliance Manager/ Senior Compliance Officer

Caitong Securities (Hong Kong) Co., Limited


  • Coordinate and liaise with regulatory authorities on enquiries, reporting, inspections and investigations
  • Propose comments in legal and compliance perspective to the Management and business units on new business ideas, policies and procedures, and legal documents.
  • Conduct compliance surveillance programs and compliance monitoring/ reviews and ad-hoc investigations
  • Formulate/ update policies and procedures to standardize operational processes to ensure relevant compliance standards are properly complied with
  • Develop and conduct compliance trainings in accordance with relevant regulations and training objectives
  • Assist in handling SFC licensing for all staff member as well as the licensed corporations and the relevant reporting obligations
  • Assist in company secretarial duties and liaison with the Compliance Department of Parent Company


  • Bachelor degree in business, finance, law or related field
  • M inimum 3-5 ye ars of legal and compliance experience in the financial services industry
  • Well versed with the SFO, the AML Guidelines and other relevant rules and regulations
  • Experienced in dealing with regulators with excellent negotiation skills
  • Responsible, detail-minded, well-organized with good communication skills, and with the ability to handle multiple tasks independently
  • Good command of written and spoken English, Cantonese and Mandarin

  Candidate with more experience may be considered as Assistant Compliance Manager

  We offer competitive remuneration package & career prospects to the right candidate. Interested parties please apply with resume showing "AVAILABILITY, CURRENT and EXPECTED SALARIES" by quick bottom.

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More job information
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan
Job Function
  • Sheung Wan
Employment Term
  • Full-time
  • 3 years
Career Level
  • Senior management level
  • Degree