Job ref no.: CT3120164-01#0017
DNA Recruit Partners Limited

Compliance Officer (Regulatory Compliance/Global FX Group/Banking Group Subsidiaries/SFC Type 3)

DNA Recruit Partners Limited

  • 5-day week
  • Competitive pay
  • Dental plan
  • Discretionary bonus

Our client is a Global Financial Services Group and they are now looking for a Compliance Assistant (FX/Global Financial Services Group/SFC Regulated Institution) for their business operations. Newly created position, interesting opportunity with great job exposure, this person will be responsible for compliance aspects of FX and serves as a trusted advisory to markets business lines. The successful incumbent seeks to ensure that business is being conducted in conformity with all applicable laws, SFC regulations and internal procedures that relate to FX including keeping abreast of new products, technologies, and their applications and implications for markets.


  • Manage and ensure policies and procedures are in compliance with FX regulatory requirements and perform compliance checking to monitor FX trading activities
  • Assist in all SFC regulated activities to ensure full regulatory compliance and good market practice
  • Analyze potential risks of non-compliance and identify areas for improvement with remedial measure and provide recommendations to management accordingly
  • Monitor the implementation of rectifications in relation to FX selling process and sales compliance issues
  • Assist in developing FX compliance policy and provide support to business units
  • Establish, enhance, monitor and perform compliance controls over operations and business activities such as outsider contract preparation


  • Degree Holder in Law, Finance or related discipline
  • Minimum 2 years of in-house compliance role experiences, professional services firm, banking or financial institutions are highly preferred  with SFC registered in-house compliance exposure will be an advantages although not necessary
  • Well-understanding of SFC regulation, codes, guidelines and legal advisory will be an advantageous
  • Proficient in spoken and written English, Cantonese and Mandarin
  • Sensational analytical and problem solving skills
  • Self-motivated, mature, detail minded, with the ability to handle multiple tasks independently under pressure

All personal information will be used only for recruitment purpose.

More job information
Job ref no. CT3120164-01#0017
  • 20,000 - 30,000 / month (negotiable)
Job Function
  • Tsimshatsui
Employment Term
  • Full-time
  • 3 years - 8 years
Career Level
  • Entry level
  • Degree
Require to Travel
  • No travel