Job ref no.: CT3116508-01#0553

Compliance Officer (Securities and Asset Management)

QMIS Financial Group Limited

  • 5-day week
  • Medical plan


  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Provide staff training related to compliance guidelines and requirements
  • Liaise with SFC and regulators for any inquiries and requests
  • Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy
  • Keep abreast of new regulatory requirements published by SFC etc.


  • University degree in Law, Finance or related disciplines
  • Minimum 2 years of relevant experiences in financial industry
  • Good knowledge of the SFO and SFC codes and Guidelines
  • Detail-oriented, able to work independently and mature
  • Excellent written and spoken English, Cantonese and Mandarin


We provide attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries to Human Resources Department by using Apply Now. 

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More job information
Job ref no. CT3116508-01#0553
  • N/A
Job Function
  • Sheung Wan
Employment Term
  • Full-time
  • 2 years - 5 years
Career Level
  • Entry level
  • Degree