Senior / Compliance Officer (Associate)

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：

• Provide practical compliance advice for business such as retail and institutional brokerage, global markets business and businesses of the Group
• Monitor business operation of SFC licensed corporates of the Group and 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
• Assist in managing the implementation and enforcement of internal company policies and external laws and regulations (i.e. SFC/ HKEX requirements)
• 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 tasks and projects

The ideal candidate should be a ：

• University degree in Law, Finance or related disciplines
• Minimum 5+ 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,self-motivated and able to work independently
• Excellent written and spoken English, Cantonese and Mandarin
• Candidate with less experience will be considered as Analyst, Compliance

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

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.