Compliance Officer

To cope with rapid expansion in the Great China region, we are recruiting capable talent to join us.

Key elements of the job will involve：

• Monitor business operation of SFC licensed corporates of the Group and conduct ML / KYC / Compliance checking to ensure compliance with internal policies and external regulations
• Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
• Provide compliance support and advice for business of the Group
• Provide staff training related to compliance guidelines and requirements
• Liaise with SFC, HKEx and regulators for any inquiries and requests
• Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / KYC suitability policy
• Keep abreast of new regulatory requirements published by SFC, HKEX and FATCA etc
• Perform ad-hoc assignments

The ideal candidate should be a ：

• University degree in Law, Finance or related disciplines
• Minimum 3 years of relevant experiences in financial industry and SFC licensed corporates
• Sound knowledge of the SFO and SFC Codes and Guidelines
• Knowledge of HKEX Rules and Guidance is an advantage
• Detail-oriented, able to work independently and mature
• Excellent written and spoken English, Cantonese and Mandarin
• Highly adaptable to heavy load of documentation

We offer an exciting career opportunity to the successful candidate. Please email your detailed resumes with current and expected salary and availability by clicking Apply Now.

All information provided will be treated in strict confidence and used solely for recruitment purposes.