Posted on 2022-07-25
Phillip Securities Group

Audit and Compliance Officer/Senior Audit and Compliance Officer

Phillip Securities Group

Job Responsibilities:

  • Assist in formulating/updating policies and procedures to ensure compliance of business with relevant rules and regulations;
  • Assist in drafting agreements;
  • Assist in conducting compliance review and AML checking;
  • Assist in providing compliance training to staff and licensed sales force;
  • Assist in providing compliance advice and recommendations to the group’s various business units

Job Requirements:

  • Degree holder in accounting, law or related disciplines
  • At least 2 years solid experience in legal, compliance or audit. High regard will be given to applicants from international financial institutions or professional services firms
  • Sound knowledge of SFO and other relevant codes and regulations
  • Good Knowledge in AML is preferential
  • Strong command of both written and spoken English and Chinese
  • Self-motivated, independent, meticulous, analytical and responsible
  • Strong organizational skills and ability to multi-task and prioritize workload 

Candidates with more relevant experience will be considered for the Senior Audit and Compliance Officer post.

If you are looking for an environment of growth and opportunities, please e-mail a full resume stating present and expected salary to Personnel & Administration Department, Phillip Securities Group or clicking Apply Now.

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More job information
  • Compassionate leave
  • Discretionary bonus
  • Marriage leave
  • Medical plan
  • Year-end bonus
Job Function
  • Admiralty
Employment Term
  • Permanent
  • Full-time
  • 2 years - 7 years
Career Level
  • Non-management level
  • Degree