Compliance Officer / Senior Officer

Classy Wheeler Limited; Hong Kong; On-site; HKD 420,000 - 660,000; Full time

Job summary

A leading financial services firm in Hong Kong is urgently seeking a Compliance Officer / Senior Officer to ensure adherence to regulatory requirements and company policies. The ideal candidate will have a university degree in Law or Finance, with a minimum of 2 years of experience in securities firms. Key responsibilities include liaising with regulators and developing legal documents. Fluency in English and Cantonese is essential. This is a great opportunity to join a growing team in a dynamic environment.

Qualifications

• Minimum 2 years of relevant experience from securities firms.
• Good knowledge of the SFO and SFC codes and guidelines.
• Fluent in English and Cantonese.

Responsibilities

• Ensure compliance with company policies and regulatory requirements.
• Maintain Continuous Professional Training records of licensed representatives.
• Liaise with SFC, HKEX and other regulators.
• 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, etc.
• Develop, draft and review a broad range of legal documents, announcements, notices, board resolutions, shareholders resolutions and company secretary documents.

Skills

Attention to detail

Regulatory knowledge

Communication skills

Independence

Education

University degree in Law, Finance or related disciplines

Job description

Our client is a renowned financial services group. To cope with continuous growth in the securities and futures division they are now urgently looking for a Compliance Officer / Senior Officer to join the team in Hong Kong.

Job Description

• Ensure company policies, internal control procedures and manuals are up-to-date with regulatory requirements and monitor adherence with these policies.
• Maintain Continuous Professional Training records of licensed representatives.
• Liaise with SFC, HKEX 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, etc.
• Develop, draft and review a broad range of legal documents, announcements, notices, board resolutions, shareholders resolutions and company secretary documents.

Job Requirements

• University degree in Law, Finance or related disciplines.
• Minimum 2 years of relevant experience from securities firms.
• Good knowledge of the SFO and SFC codes and guidelines.
• Detail-oriented, able to work independently and mature.
• Excellent written and spoken English and Chinese (Cantonese).