Job - Compliance Officer, Platinum Management Services Limited
Platinum Management Services Limited

Platinum Group

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We are an Asian financial services group, providing a wide range of financial advisory and stockbroking services to our clients throughout the Asia Pacific Region. We are looking for high calibre candidate for the following position:

Compliance Officer

Job Ref.CT3107514-01#0014


  • Developing and enhancing an effective compliance infrastructure to accommodate regulatory requirements and mitigate compliance risk.
  • To formulate, review and roll-out regulatory compliance related policies and guidelines.
  • To understand the group’s businesses / operations and provide advice, interpretation and recommendation on existing and new regulatory compliance requirements to the management
  • To provide compliance advisory support in current and new business initiatives.
  • To develop and provide compliance training to the staff on a need basis.
  • To oversee the company secretarial matters and liaise with local and overseas agents.
  • To supervise compliance assistants in performing compliance related tasks.
  • To undertake ad-hoc projects as required.


  • University graduate in law or accounting degree, with a minimum of 3 years' compliance / audit or accounting experience in the securities and investment banking industry.
  • Familiarity with the Securities and Futures Ordinance, Mandatory Provident Fund Schemes Ordinance, Money Lenders Ordinance, Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance and the rules, codes and guidelines issued by the related regulatory bodies.
  • Compliance experience with regulatory bodies is an asset.
  • Sound knowledge of investment products.
  • Good presentation and report writing skills.
  • Good PC skills
  • A confident, efficient and effective team player with initiative and able to work independently.
  • Ability to exercise judgment, work under pressure and liaise effectively with the front and back offices is essential.
  • Proficiency in both spoken and written English and Chinese.

We offer competitive compensation package to the right candidate.  Please send a detailed resume with current and expected salary by email to with subject line 'Job Application - Compliance Officer.


All applications will be treated in strictly confidential. Applicants who are not invited for an interview within 2 months may consider that their applications are unsuccessful.

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  • Alternate Saturdays
  • Discretionary bonus
  • Insurance plan
  • Medical plan
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