Job ref no.: CT3116644-01#0018
Yuanta Securities (Hong Kong) Company Limited

Compliance Officer / Assistant

Yuanta Securities (Hong Kong) Company Limited

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


  • Review, update, test and enhance the compliance frameworks on the Company's various business activities and initiatives
  • Handle inquiries and investigation from various regulators
  • Handle licensing matters/KYC checks
  • Develop and conduct internal trainings on all compliance related issues
  • Keep abreast of regulatory developments and provide regulatory updates and compliance advice on business initiatives
  • Assist to review, maintain and enhance the existing compliance manual and procedures
  • Work closely with back office, front office, internal and external auditors and regulatory authorities on compliance issues
  • Perform ad hoc projects as required


  • Degree holder in law, accounting, Finance or related discipline
  • A team player with strong communication and analytical skills as well as high degree of professional maturity
  • Able to work independently
  • Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus
  • Fresh Graduate will also be considered

Attractive remuneration will be offered to the right candidate. Interested parties, please send your application letter with full resume including date available, present and expected salary to us.

Personal data collected would be used for recruitment purpose only.

More job information
Job ref no. CT3116644-01#0018
  • N/A
Job Function
  • Admiralty
Employment Term
  • Permanent
  • Full-time
  • 0 year - 5 years
Career Level
  • Entry level
  • Degree