Compliance Officer / Compliance Assistant Manager

Platinum Management Services Limited; Hong Kong; On-site; HKD 391,000 - 725,000; Full time

Benefits offered by this job

Medical Insurance

Life Insurance

Performance Bonus

Study Leave

Bank Holiday

Birthday Leave

Annual Leave 14 days

Job summary

Platinum Management Services Limited is seeking a Compliance Officer / Compliance Assistant Manager to support HKEX/SFC interactions and licensing matters. The role involves developing policies, monitoring internal controls, and steering KYC/CDD activities for new and existing accounts.

You will supervise junior staff, handle company secretarial tasks, and assist with ad-hoc projects. A degree in law/accounting/business and strong communication skills are required.

Qualifications

• Degree holder in Law, Accounting, Business Administration or related disciplines.
• Sound knowledge of the financial industry and compliance regulations.
• Preferably with two years of compliance experience; internship in banking/finance favored.
• Excellent communication and interpersonal skills.
• Knowledge of securities laws, SFC rules, Exchange Rules, Listing Rules and Companies Ordinance.
• Able to work under pressure and independently.

Responsibilities

• Assist in dealing with HKEX, SFC and other regulatory bodies for compliance and licensing matters.
• Develop and monitor compliance policies and procedures and internal controls.
• Handle licensing for licensed individuals and entities.
• Monitor operations and employee dealing, perform AML/KYC checks in line with regulations and policies.
• Provide in-house training on rules and promote compliance awareness.
• Conduct KYC/CDD for new accounts and ongoing maintenance.
• Assist with company secretary tasks, including Board Minutes/Written Resolutions/AGMs for group companies.
• Perform ad-hoc assignments or projects; supervise junior staff in day-to-day operations.
• Candidate with more experience may fit the Assistant Manager role.

Skills

Regulatory knowledge

AML/KYC

Interpersonal skills

English/Chinese communication

Education

Degree in Law/Accounting/Business

Job description

Compliance Officer / Compliance Assistant Manager

Assist in dealing with HKEX, SFC and other regulatory organizations for all compliance and licensing matters

Assist in developing and monitoring compliance related policies and procedures as well as proper internal control to ensure that Company is in compliance with regulations

Handle and update licensing matters for licensed individuals and corporations

Monitor the Company's operation and employee dealing, and perform compliance and AML checking to ensure compliance with rules and regulations, and internal policies and procedures

Provide in-house training on rules and regulations and promote compliance awareness in the Company

Conduct KYC/CDD for new account opening and account maintenance, filing

Assist on all company secretarial tasks, including prepare Board Minutes/Written Resolutions/ AGM for group companies

Perform ad-hoc assignments or projects as required

Supervise junior member to perform the day-to-day operations of the department

More experience would be the position for Assistant Manager

Requirements:

Degree holder or above in Law, Accounting, Business Administration or related disciplines

Sound knowledge of the financial industry and Compliance regulations is a plus

Preferably with two year of compliance experience; candidates with internship experience in the banking and finance industries is preferred

Excellent communication and interpersonal skills

Knowledge with securities laws and regulations, SFC rules and regulations, Exchange Rules, Listing Rules and Companies Ordinance

Able to work under pressure and work independently

Fluency in written and spoken English and Chinese (both Cantonese and Mandarin)

Medical insurance (including spouse and children)

Life insurance

Performance bonus

Study leave

Bank holiday

Birthday leave

Annual leave 14 days

(All applications will be treated in strictly confidential. Applicants who are not invited for interview within 2 months may consider that their applications are unsuccessful.)