Compliance Officer / Senior Officer

Our client is a renowned financial services group. To cope with continues growth in securities and futures division they are now urgently looking for a Compliance Officer / Senior Officer to join the team in Hong Kong

Job Description

• Ensure company policies, internal control procedures and manuals are up-to-date with regulatory requirements and monitor adherence with these policies
• Maintain Continuous Professional Training records of licensed representatives
• 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 / PDD / KYC suitability policy
• Keep abreast of new regulatory requirements published by SFC, etc.
• Develop, draft and review a broad range of legal documents, announcement, notice, board resolutions, shareholders resolutions and company secretary documents

• University degree in Law, Finance or related disciplines
• Minimum 2 years of relevant experiences from securities firms
• Good knowledge of the SFO and SFC codes and guidelines
• Detail-oriented, able to work independently and mature
• Excellent written and spoken English and Chinese (Cantonese)