Job ref no.: CT3121063-01#1808

Compliance Officer

Compliance Consulting Limited

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

 Compliance Consulting Limited has been established since 2003 in Hong Kong as a pioneer in the industry with strong reputation and successful track records. Our team of compliance specialists provides clients with consultation advice and cost-effective business solutions including SFC licensing, compliance outsourcing, facilitating and guiding the registration of companies and their representatives in compliance with the current regulatory regime.

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

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More job information
Job ref no. CT3121063-01#1808
  • N/A
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 2 years - 8 years
Career Level
  • Non-management level
  • Degree
  • Master's degree