Compliance Officer

Yuanta Securities (Hong Kong) Company Limited; Hong Kong; On-site; HKD 357,000 - 580,000; Full time

Benefits offered by this job

Discretionary bonus

Group Medical Insurance with Dental

Job summary

Yuanta Securities (Hong Kong) Company Limited is seeking a meticulous Compliance professional to monitor regulatory changes, manage AML controls, and ensure regulatory reporting accuracy across exchanges and regulators.

You will handle licensing matters, SFC reporting, staff dealing review, and training within a collaborative team. Fluency in English, Cantonese and Putonghua is required, with at least two years’ experience in financial regulatory compliance.

Qualifications

• Degree holder in Finance, Business, or Law related disciplines.
• 2+ years experience in transaction monitoring and/or AML in financial institutions or brokerage.
• Strong communication and interpersonal skills.
• Be a good team-player, proactive, self-motivated, and positive learning attitude.

Responsibilities

• Monitor regulatory changes and update the policies and procedures.
• Handle regulatory reporting and inquiries with the Exchanges and Regulators.
• Handle research report clearance.
• Handle licensing matters, notification, annual return, survey and ad hoc reports as required by regulators.
• Handle ongoing SFC reporting matters.
• Handle staff dealing review and monitoring.
• Maintain and update stock restricted lists and watch lists.
• Conduct in-house compliance training.
• Assist in ad hoc projects as required.

Skills

Compliance experience

Communication skills

Team player

Multilingual

Education

Finance/Business/Law degree

Job description

Monitor regulatory changes and update the policies and procedures

Handle regulatory reporting and inquires with the relevant Exchanges and Regulators

Handle research report clearance

Handles licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators

Handle on-going SFC reporting matters

Handle staff dealing review and monitoring

Maintain and update stock restricted list and watch lists

Conduct in-house compliance training

Assist in ad hoc projects as required

Requirements:

Degree holder in Finance, Business, or Law related disciplines.

Fluent in English, Cantonese and Putonghua

2+ years experience working in transaction monitoring and/or AML related area in financial institutions or brokerage

Strong communication and interpersonal skills

Be a good team-player, proactive, self-motivated, and positive learning attitude

5 day work-week

Discretionary bonus

Group Medical Insurance with Dental Coverage

We offer attractive remuneration package to the right candidate.