Compliance Officer

Aden Financial Holdings LTD; Hong Kong; On-site; HKD 420,000 - 540,000; Full time

Job summary

Compliance First Consulting Limited in Sheung Wan, Hong Kong, seeks a Compliance Officer to handle inquiries and reporting for SFC Type 1, 7, and 9 licenses, with a primary focus on cybersecurity and daily licensed operations.

You will identify and report compliance risks, conduct ongoing monitoring of licensed activities, and liaise with staff to ensure adherence to the SFO and related guidelines. A Bachelor’s degree and 3+ years in financial compliance are required; fresh graduates are welcome.

Qualifications

• Bachelor’s degree in Law, Finance, Business Administration, or related discipline.
• At least 3 years of experience in financial industry compliance.
• In-depth knowledge of the SFO and related codes/guidelines for securities trading.
• Excellent written and spoken communication in Chinese and English.
• Strong interpersonal skills with ability to influence stakeholders.

Responsibilities

• Handle compliance inquiries and reporting for SFC Type 1, 7, 9 licenses with a focus on cybersecurity.
• Provide compliance support for daily licensed operations.
• Identify, assess, and report compliance risks in licensed corporate activities.
• Conduct ongoing monitoring of licensed activities, including staff dealings, transaction surveillance, and communication record reviews.

Skills

Communication skills

Bilingual Chinese/English

Compliance monitoring

Education

Bachelor’s degree in Law/Finance/Business Administration

Job description

Handle compliance inquiries and reporting matters related to SFC Type 1, 7, 9 licenses, with a primary focus on cybersecurity.

Provide compliance support and guidance for daily licensed operations.

Identify, assess, and report compliance risks in licensed corporate activities.

Conduct ongoing monitoring of licensed activities, including staff dealings, transaction surveillance, and communication record reviews, to detect anomalies.

Requirements

Bachelor’s degree in Law, Finance, Business Administration, or a related discipline.

At least 3 years of experience in financial industry compliance.

In-depth knowledge of the Securities and Futures Ordinance (SFO) and its subsidiary regulations, as well as codes and guidelines relevant to securities trading.

Excellent written and spoken communication skills in both Chinese and English.

Strong interpersonal and communication skills, with the ability to clearly articulate compliance requirements and influence stakeholders.

Demonstrates in-depth knowledge of trading systems and cybersecurity.

Immediate availability is highly preferred.

Compliance Officer (Fresh graduate will also be considered)

Compliance First Consulting Limited

Sheung Wan, Central and Western District, HK