Job ref no.: CT3116010-01#0081
Southwest Securities (HK) Financial Management Limited

Assistant Manager/Officer V Compliance

Southwest Securities (HK) Financial Management Limited

  • 5-day week
  • Birthday leave
  • Compassionate leave
  • Competitive pay
  • Dental plan
  • Discretionary bonus
  • Education subsidies
  • Examination leave
  • Extra maternity leave
  • Extra paternity leave
  • Insurance plan
  • Marriage leave
  • Medical plan
  • Special / extra leave
  • K + 8 more

• Handle enquiries, correspondence and licensing matters with regulatory bodies (e.g. SFC, HKEX, MPFA, CIB and PIBA)
• Assist in monitoring staff dealing activities and maintaining the Group’s restricted list and watch list
• Perform AML checking for clients and report suspicious cases to the supervisors
• Maintain a record keeping system for legal and compliance teams
• Participate in ad hoc projects as assigned

• Degree holder in Business, law, accounting or related disciplines
• Minimum 3 years of compliance experience in the financial services industry
• Well familiar with SFO, Rules of the Exchange , AMLO, Codes & Guidelines of Regulatory Authorities
• Good knowledge of the securities and futures market, including derivatives products, knowledge of insurance business is an advantage
• Excellent interpersonal, relationship management and communication skills
• Proficiency in MS Office applications including Chinese word processing
• Excellent command of spoken and written English and Chinese, including Mandarin

Candidates with less experience will be considered as Compliance Officer.

Attractive package will be offered to the right candidate.  Interested parties please send both Chinese & English resume with current and expected salary to the Human Resources Department at 40/F., Lee Garden One, 33 Hysan Avenue, Causeway Bay, Hong Kong or email to us by clicking Apply Now.

Data collected will be used for recruitment purpose only.

More job information
Job ref no. CT3116010-01#0081
  • N/A
Job Function
  • Causeway Bay
Employment Term
  • Permanent
  • Full-time
  • 3 years - 18 years
Career Level
  • Non-management level
  • Degree
  • Master's degree