Compliance Officer (Securities Brokerage)-EW

Classy Wheeler Limited; Hong Kong; On-site; HKD 550,000 - 750,000; Full time

Job summary

A well-known securities brokerage in Hong Kong is seeking a Compliance Officer to ensure policies meet regulatory requirements and provide training for staff. The ideal candidate holds a degree in Law or Finance and has at least three years of experience in the financial industry, preferably at a securities firm. Responsibilities include liaising with regulators, assisting with compliance issues, and ensuring adherence to guidelines. This role is essential for maintaining compliance standards in a fast-paced environment.

Qualifications

• At least 3 years of relevant experience in the financial industry, ideally in a securities firm.
• Good knowledge of regulatory requirements including SFO and SFC codes.
• Good knowledge of the SFO and SFC codes and Guidelines.
• Detail-oriented, mature and able to work independently.

Responsibilities

• Ensure company policies and internal control procedures are up-to-date with regulatory requirements.
• Provide staff training on compliance guidelines.
• Liaise with SFC and regulators on inquiries and requests.
• Assist in compliance issues related to operations.
• Keep abreast of new regulatory requirements published by SFC and FATCA etc.

Skills

Detail-oriented

Ability to work independently

Knowledge of SFO and SFC codes

Education

Degree in Law, Finance or related disciplines

Job description

Compliance Officer (Securities Brokerage)-EW

Client Description

Our client is a renowned listed securities brokerage company. To cope with continues growth they are now urgently looking for a Compliance Officer to join the team in Hong Kong

Job Description

• Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
• Provide staff training related to compliance guidelines and requirements
• Liaise with SFC 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 and FATCA etc.

Job Requirements

• Degree in Law, Finance or related disciplines
• At least 3 years of relevant experiences in financial industry (securities firm preferred)
• Good knowledge of the SFO and SFC codes and Guidelines
• Detail-oriented, mature and able to work independently