Job ref no.: CT3114630-01#8495

Compliance Officer

Prudence Investment Management (Hong Kong) Limited

  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Medical plan

Compliance Officer

Location:          Central, Hong Kong

Position:           Permanent



  1. Ensure the Group and its subsidiary business in compliance with all rules, regulations and restrictions required by regulators
  2. Firm compliance monitoring and testing, including periodic internal reviews
  3. Maintenance and implementation of firm policies and procedures
  4. Managing the firm’s AML/KYC program
  5. Advising the business on compliance matters in connection with new markets or products, regulatory updates and provide periodic training to staffs
  6. Managing interactions with the relevant regulators
  7. Personal Dealing approval
  8. Licensing
  9. Review legal documents, including fund prospectus, agreements and liaise with lawyers, consultants, etc.


  1. At least 3 years' direct experience in FI/Fund house/law firm as a compliance officer with sound knowledge of current regulatory environment and familiar with SFC rules/regulations
  2. University degree, preferably in law, Finance, Accounting, or equivalent practical experience
  3. Prior experience working in Type 1,4,9 licensed corporation will be an advantage
  4. Experience with the compliance issues relating to Cayman or other offshore funds
  5. Exposure to regulations in another jurisdiction is preferable
  6. Strong interpersonal and communication skills, self-motivated, responsible and fast paced work under pressure and meet tight deadlines


Additional Information and Application Method:

We offer competitive remuneration package: discretionary bonus, 5-days work week, 15-20 days paid annual leave, medical benefit, complimentary lunch meals, miscellaneous allowance, on job training and a stable harmonious working environment. 

For more information about the company, please refer to our website

Interested parties please send your resume in English and Chinese with expected salary and notice period by clicking Apply Now

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More job information
Job ref no. CT3114630-01#8495
  • N/A
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 3 years
Career Level
  • Middle management level
  • Degree