Company Overview
To
Compliance Officer
Job Description
Responsibilities:
- Carry out all compliance functions to ensure the Company adheres to relevant legal and regulatory requirements;
- Develop and update compliance policies and procedures;
- Prepare internal and external compliance report;
- Prepare license applications and answer enquiries from regulators on compliance matters;
- Assist in ad hoc projects.
Requirements:
- Degree holder in Accounting / Law / Finance or related disciplines;
- 0-1 year of working experience on compliance and audit function;
- Knowledge with HK legal and regulatory requirements on securities brokerage and anti-money laundering is preferred;
- Knowledge in SFC / HKEx rules and regulations and their compliance / practice;
- Mature, self-motivated and equipped with positive attitude and passion for performance excellence;
- Proficiency in written and spoken English and Chinese with fluency of Putonghua.
- Candidate with more experience may be considered as Compliance Manager.
Job details
- Industry
- Financial Services / Investment / Securities
- Job Function
- Banking / Finance > Legal / Compliance
- Location
- Within Hong Kong
- Published On
- 24 Jul 2026
- Job Ref. No.
- RiA
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