Compliance Officer

Responsibilities

• Monitor and assess the effectiveness of compliance programs and make necessary improvements

• Conduct regular compliance review (e.g. AML, Transaction Monitoring) and risk assessments

• Develop, implement, maintain, and review compliance policies and procedures to fulfill SFC / HKEX requirements

• Assist in reviewing and analyzing new regulatory and statutory requirements to ensure the company comply with the relevant rules and regulations

• Handle staff licensing and keep track on the CPT register of the staffs

• Prepare compliance & AML training for staff

• Handle general enquiries from HKEX, SFC and other relevant regulators

• Assist in other ad-hoc duties as assigned

Requirements

• Bachelor’s degree or above in related disciplines

• Minimum 3 years' relevant working experience in handling complicated compliance issues

• Solid working experience in general compliance

• Sound knowledge in rules and regulations administered by the SFC, market practices, financial products as well as securities business

• Self-motivated and able to work independently

• Good interpersonal and communication skills

• Excellent Command in both written and spoken English and Chinese (including Cantonese and Mandarin)

• Candidate with less experience will be considered as Assistant Compliance Officer

We offer competitive salary and package for the right candidate. Interested parties are requested to send their resume and expected monthly salary by clicking “Apply Now”.

All information collected will be treated in strict confidence and only be used for recruitment purposes.Candidates not being invited for interview within 8 weeks after submission date may assume their application unsuccessful and their information will be destroyed within 12 months.