Compliance Officer

PANDA SECURITIES COMPANY LIMITED; Hong Kong; Sur place; HKD 900 000 - 1 300 000; Plein temps

Résumé du poste

PANDA SECURITIES COMPANY LIMITED is seeking a senior compliance professional in Hong Kong to lead and advance the firm's regulatory program. The role covers policy analysis, development of manuals and SOPs, and strengthening controls across core risk areas including client assets and AML/CFT.

You will liaise with the SFC, oversee inspections and filings, and advise management on regulatory matters. The ideal candidate has a legal background with HK experience, 5+ years in compliance, and fluency

Qualifications

• Experience at a Hong Kong SFC-licensed corporation is required.
• Strong knowledge of SFO, Code of Conduct, FRR and AML/CFT obligations.
• Experience with SFC inspections, regulatory remediation or compliance framework build-out preferred.

Responsabilités

• Conduct analysis of policies, procedures and controls against SFO, Code of Conduct and SFC guidelines.
• Develop and update the compliance manual, SOPs and internal controls across activities.
• Strengthen controls in key risk areas: client assets, conflicts of interest, suitability, disclosure and AML/CFT.
• Act as liaison with the SFC; manage inspections, filings and annual returns.
• Monitor regulatory developments, assess impact and implement updates.
• Lead internal compliance reviews, audits and remediation tracking.
• Deliver compliance training and advise business and management on regulatory matters.

Connaissances

Regulatory compliance

SFC/SFO knowledge

Regulatory reporting

Stakeholder liaison

Regulatory training

Formation

Qualified lawyer or law degree

Description du poste

• Conduct analysis of policies, procedures and controls against the SFO, Code of Conduct, SFC guidelines and applicable rules
• Develop and update the compliance manual, SOPs and internal controls across Type 1, 2 and 9 activities
• Strengthen controls in key risk areas: client assets, conflicts of interest, suitability, disclosure and AML/CFT
• Act as primary liaison with the SFC; manage inspections, enquiries, filings and annual returns
• Monitor regulatory developments, assess impact and implement necessary updates
• Lead internal compliance reviews, audits and remediation tracking
• Deliver compliance training and advise business and management on regulatory matters

About you

• Valid experience at a Hong Kong SFC-licensed corporation, ideally covering multiple regulated activities
• Minimum 5 years' compliance/regulatory experience, with at least 3 years in senior compliance management
• Strong knowledge of the SFO, Code of Conduct, FRR, Client Asset Rules, AML/CFT and SFC reporting obligations
• Proven experience in SFC inspections, regulatory remediation or compliance framework build-out preferred
• Legal background is mandatory and must be evidenced by at least one of the following: admission as a lawyer in a recognised jurisdiction; an LLB, JD, LLM or equivalent legal qualification; or prior legal practice experience at a law firm
• Excellent English and Chinese; Cantonese and Mandarin preferred