Compliance Officer, Securities Brokerage (HK)

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.

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.

Skills

Detail-oriented

Ability to work independently

Knowledge of SFO and SFC codes

Education

Degree in Law, Finance or related disciplines

Job description

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.