Job ref no.: CT3118201-01#0231

Compliance Officer

Mario Recruitment Limited

My client is a reputable financial institution with SFC Licenses in Type 4 & 9 in Hong Kong with expansion plans. They now look for a compliance officer who is eligible to handle the compliance functions of SFC regulated activities.


Job Duties

  • Establish, implement and monitor compliance policies, procedures and standards of Hong Kong operations
  • Monitor day-to-day compliance responsibilities including SFC reporting, licensing, AML, KYC and general compliance duties
  • Keep abreast of the latest regulatory requirements for provision of advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
  • Supervise fulfilment of SFC license holders’ requirements of CPT training

Job Requirements

  • A holder of bachelor degree or above in Law, Finance, Accounting, Business or related discipline(s)
  • Having 2-3 years of solid experience in sell-side securities firm or in buy-side asset management firm 
  • Having sound knowledge of international regulatory compliance rules, such as FATCA, Dodd Frank, EMIR, MiFID...etc
  • A native or business professional level speaker of Cantonese, Mandarin or English

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. CT3118201-01#0231
  • N/A
Job Function
  • Central
Employment Term
  • Full-time
  • 2 years - 7 years
Career Level
  • Entry level
  • Degree