Compliance Officer/Senior Compliance Officer

Ping An of China Securities (Hong Kong) Co Ltd


  • Provide practical compliance advice for business units
  • Handles licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators;
  • Handle on-going SFC reporting matters
  • Formulate and update internal policies and procedures to ensure relevant compliance standards are complied with
  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Liaise with SFC, HKEX and regulators for any inquiries and requests
  • Keep abreast of new regulatory requirements published by SFC, HKEX and FATCA etc


  • Bachelor’s Degree or above
  • Minimum 5 years of relevant experiences in SFC licensed corporations
  • Sound knowledge of the SFO and SFC Codes and Guidelines
  • Detail-oriented, self-motivated and able to work independently
  • Excellent written and spoken English, Cantonese and Mandarin
  • Candidates with less experience will be considered as officer 

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salary and date of availability to Human Resources Department.  To apply for this position, please simply click the “Apply Now” .

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More job information
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Medical plan
Job Function
  • Central
Work Model
  • On-site / At the workplace
Employment Term
  • Permanent
  • Full-time
  • 5 years
Career Level
  • Middle management level
  • Degree