Job ref no.: CT3115413-01#8061

Compliance Assistant 合 規 部 助 理

Caitong Securities (Hong Kong) Co., Limited

  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan


  • Handle SFC licensing for all staff member as well as the licensed corporations and the relevant reporting obligations
  • Conduct compliance surveillance programs and compliance monitoring / reviews and ad-hoc investigations
  • Coordinate and liaise with regulatory authorities on enquiries, reporting, inspection or investigation
  • Assist in developing and delivering compliance training and reviewing relevant legal documents=
  • Assist in company secretarial duties
  • Support Compliance Department on ad hoc projects


  • Bachelor degree in business, finance, law or related field
  • Minimum 1 year relevant experience, preferably in financial institutions; fresh graduates would also be considered
  • Responsible, detail-minded, well-organized with good communication skills, and with the ability to handle multiple tasks independently
  • Conversant with MS Office applications
  • Good command of written and spoken English, Cantonese and Mandarin

We offer competitive remuneration package & career prospects to the right candidate. Interested parties please apply with resume showing availability, current and expected salaries by clicking Apply Now.


(Personal data collected will be kept confidential and used for recruitment purpose only)

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3115413-01#8061
  • N/A
Job Function
  • Sheung Wan
Employment Term
  • Full-time
  • 1 year - 5 years
Career Level
  • Entry level
  • Degree