Job ref no.: CT3114386-01#5210

Compliance Officer



  • Responsible to review, update and enhance compliance framework on various business activities and initiatives
  • Update compliance policies and procedures with information on the latest regulatory requirements
  • Review KYC documentation upon account opening according to guidelines set by SFC and provide advice on KYC to related staff
  • Perform account transactions monitoring and AML measures
  • Liaise with SFC and follow up on their enquiries and investigation requests
  • Prepare monthly FRR reports to SFC
  • Handle SFC licensing matters and prepare various reports as required


  • University Degree in Accounts, Finance, Law or related disciplines
  • Minimum 3-5 years of compliance experience in brokerage firms or financial institutions in Compliance Department
  • Good knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
  • Good command of written and spoken English, Cantonese and Mandarin

If you are interested, please send me resume to Ms. Sally Ho by clicking Apply Now or give her a call for more details on Tel: (852) 9082 0937 Office: 2572 1282

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More job information
Job ref no. CT3114386-01#5210
  • N/A
Job Function
Employment Term
  • Full-time
  • 3 years - 10 years
Career Level
  • Non-management level
  • Degree