Job ref no.: CT3114843-01#7847

[URGENT HIRE] Securities Brokerage - Compliance Officer (2-4 years exp)

JAC Recruitment Hong Kong Co., Limited

  • 5-day week
  • 13-month pay
  • Dental plan
  • Discretionary bonus
  • Medical plan

 Our Client, a renowned Securities firm, is urgently looking for a Compliance Officer. 


  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Provide staff training related to compliance guidelines and requirements
  • Liaise with SFC and regulators for any inquiries and requests
  • Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy
  • Keep abreast of new regulatory requirements published by SFC and FATCA etc.


  • University degree in Law, Finance or related disciplines
  • Minimum 2 years of relevant experiences in financial industry
  • Good knowledge of the SFO and SFC codes and Guidelines
  • Detail-oriented, able to work independently and mature
  • Excellent written and spoken English, Cantonese and Mandarin

Interested candidates, please kindly send your detailed resume by clicking Apply Now including:

1) Current and expected salary
2) Availability
3) Reason for leaving current and past employments

Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3114843-01#7847
  • N/A
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 2 years - 7 years
Career Level
  • Entry level
  • Degree