Job ref no.: CT3116508-01#1129

Compliance Officer

Prestige Securities Limited

  • 5-day week
  • Discretionary bonus
  • Medical plan

We are looking for a self-motivated, focused individual with strong compliance knowledge base to oversee the SFC regulated activities of our securities brokerage and fund management businesses.


  • Ensure that the operating procedures comply with regulatory and company policies and requirements.
  • Identify key compliance and operation risks and weaknesses.
  • Maintain the monitoring systems, provide risk and compliance advice and ensure the operation in accordance with various risk and compliance parameters.
  • Conduct a vigorous awareness of changes in the regulatory environment and if necessary, modify and adapt changes in the policies, procedures and monitoring systems.
  • Conduct KYC, AML checking for client account opening.
  • Perform periodic compliance monitoring and reviews on business activities, ensure the operational flow of the Company conforms to internal requirements and external regulations.
  • Provide relevant compliance training on various subject matters.
  • Assist the business on various other matters, including but not limited to SFC inquiries, SFC license applications and CPT monitoring etc.


  • A degree holder in Law, Accounting, Finance or other related disciplines.
  • Familiar with SFC regulations, rules and guidelines.
  • Min 3 years relevant experience within a securities firm or financial institution; relevant experience in asset management and hedge funds are desirable.
  • Independent and good team player.
  • Strong knowledge of prevailing financial service regulatory requirements.
  • Excellent command of spoken and written English and Mandarin.

Interested parties please click Apply Now to apply job 

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3116508-01#1129
  • N/A
Job Function
  • Central
Employment Term
  • Full-time
  • 3 years - 8 years
Career Level
  • Middle management level
  • Degree