Job - Compliance Officer (Securities and Futures), Hantec Securities Co., Ltd
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Hantec Securities Co., Ltd

Hantec Securities Co., Ltd, we are inviting talented and energetic individuals to join our professional team. 

Compliance Officer (Securities and Futures)

Job Ref.CT3108048-01#0001

Responsibilities:

  • Handle SFC enquiries
  • Set up and review internal compliance policies and procedures
  • Review and update the compliance policies in accordance to new SFC guidelines
  • Liaise with regulatory authorities and provide professional compliance advisory to business
  • Monitor all business activities to ensure compliance with regulatory requirements
  • Perform compliance reviews and self-assessments in accordance with regulatory and internal requirements
  • Assist in staff licensing and compliance training and support legal related issue
  • Handle other ad-hoc projects and assignments as required

Requirements:

  • Degree holder in Finance, Business Administration, Law or related discipline
  • 4-5 years compliance experience in finance industry, preferably in securities firms
  • Familiar with the SFO, SFC regulations and other relevant legal and regulatory requirements
  • Good command in written and spoken English, Cantonese and Mandarin 

We offer an exciting career opportunity to the successful candidate. Please email your detailed resume with current and
expected salary to jimmyng@hantec.hk and kenlaw@hantec.hk.

All information provided will be treated in strict confidence and used solely for the recruitment purposes.

Apply Now
Job Ref No.
CT3108048-01#0001
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