Job ref no.: CT3116128-01#4415

Senior Officer, Compliance

Kim Eng Securities (HK) Ltd

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


  • Support in ensuring all applicable laws, regulations and internal policies and procedures are complied with
  • Assist in conducting regular compliance checking at front, middle and back office functions
  • Assist in formulating compliance monitoring procedures
  • Handle the application of new license for regulated activities and handle licensing matters with SFC
  • Identify and analyze suspicious area in relation to AML, in order to identify potential suspicious activity
  • Be up to date with anti-money laundering, counter terrorist financing and FATCA/CRS regulations, policies, industry best practices and trends
  • Assist in training and updating all staff regularly on latest developments



  • Degree holder in Accounting / Finance or other related disciplines
  • Minimum of 3 years of compliance experience in securities/futures brokerage industry
  • Knowledge in SFC, HKEx regulations and other regulatory requirements
  • Able to work independently
  • A team player with strong communication and analytical skills
  • Proficient in PC knowledge, including MS Word, Excel, PowerPoint
  • Strong command of both written and spoken English and Cantonese



Interested parties please send full resume with contact telephone number and expected salary to Human Capital Department, Kim Eng Securities (Hong Kong) Limited at 28/F, Lee Garden Three, 1 Sunning Road, Causeway Bay, Hong Kong or by clicking Apply Now (in MSWord form)


The personal data collected in the job application will only be used by Kim Eng Securities (Hong Kong) Limited, its subsidiaries and/or affiliates (Maybank Kim Eng Group) internally to assess your suitability to assume the job duties of the position for which you have applied. All personal data will be handled in strict confidence and filed with Human Resources Department.  It is the Company policy to retain the personal data of unsuccessful applicants for future recruitment opportunities for a period of maximum six (6) months, otherwise it will be destroyed.

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More job information
Job ref no. CT3116128-01#4415
  • N/A
Job Function
  • Causeway Bay
Employment Term
  • Full-time
  • 3 years - 5 years
Career Level
  • Entry level
  • Degree