Compliance Officer (SFC Type 1,4,9)

Realord Asia Pacific Securities Limited; Hong Kong; On-site; HKD 420,000 - 660,000; Full time

Job summary

Realord Asia Pacific Securities Limited is seeking an experienced Compliance professional in Hong Kong to manage regulatory requirements across SFC and HKEX, oversee client onboarding, and maintain AML guidelines. You will coordinate licensing, CRS/FATCA reporting, and staff training while acting as MIC & MLRO for relevant SFC types.

The role requires strong knowledge of Hong Kong capital markets, bilingual communication skills, and the ability to work under pressure.

Qualifications

• Degree holder in Business Administration, Law, Finance or related professional qualification.
• At least 2 years of relevant experience in Compliance in a Financial Institution with SFC exposure.
• Solid 2 years of experience in Compliance MIC & MLRO responsibilities.
• Compliance experience in Securities Firm is highly recommended.
• Strong understanding of capital markets rules and HK regulations (SFC/HKEX).
• Excellent written and spoken English and Chinese (Cantonese & Mandarin).
• Immediate availability is highly preferable.

Responsibilities

• Handle general enquiries from SFC regulations Type 1,4,9, HKEX and regulators.
• Manage client regulatory and compliance policies and monitor risk to fulfill SFC / HKEX requirements.
• Manage client onboarding and periodic review processes for existing clients and investors.
• Formulate, maintain and update AML policies and guidelines.
• Handle staff licensing, CRS and FATCA reporting.
• Track CPT hours against regulatory requirements and reconcile variances.
• Provide in-house AML training for staff.
• Serve as Compliance MIC & MLRO for SFC regulations Type 1,4,9.
• Handle other ad-hoc projects and assignments as required.

Skills

SFC regulations

HKEX knowledge

AML compliance

MLRO duties

Regulatory reporting

Onboarding compliance

English Chinese

Education

Degree in Business

Law/Finance background

Professional qualification

Job description

Handle general enquiries from SFCregulations Type 1,4,9, HKEX and regulators;

Manage client regulatory and compliance policies and monitor risk to fulfill SFC / HKEX requirements;

Manage client onboarding and periodic review process of existing clients and investors;

Formulate, maintain and update AML / policies and guidelines;

Handle staff licensing / CRS / FATCA reporting;

Track and reconcile CPT hours against regulatory requirements;

Provide essential in-house AML training for staff;

Responsible for Compliance MIC & MLRO for SFC regulations Type 1,4,9;

Handle other ad-hoc projects and assignments as required;

Requirements

• Degree holder in Business Administration, Law, Finance or possess related professional qualification;
• At least 2 years of relevant experience in Compliance function of Financial Institution with exposure in SFC matters;
• Solid 2 years of responsible for Compliance MIC & MLRO;
• Compliance experience in Securities Firm is highly recommended;
• Strong understanding of financial market knowledge, rules and regulations of capital markets for HK markets;
• Well-versed in relevant compliance rules and regulations issued by the SFC;
• Analytical, self-motivated, ability to work under pressure;
• Excellent presentation and problem-solving skills;
• Good command of written and spoken English and Chinese (Cantonese & Mandarin);
• Immediate available is highly preferable.

Realord Asia Pacific Securities Co., Ltd is a subsidiary of Realord Group Holdings Limited (stock code: 1196). It is a licensed institution under the supervision of the Hong Kong Securities Regulatory

Commission for Securities and Futures Contracts.

Realord Asia Pacific Securities Co., Ltd is committed to providing diversified and convenient integrated investment services to clients in the Greater China and Asia Pacific regions. Relying on the shareholders'

strong capital strength, stable business style and extensive customer base, it wholeheartedly provides one-stop financial services for high-quality enterprises and securities brokerage services for institutional investors and individual clients.

Realord Asia Pacific Securities Co., Ltd is a subsidiary of Realord Group Holdings Limited (stock code: 1196). It is a licensed institution under the supervision of the Hong Kong Securities Regulatory

Commission for Securities and Futures Contracts.

Realord Asia Pacific Securities Co., Ltd is committed to providing diversified and convenient integrated investment services to clients in the Greater China and Asia Pacific regions. Relying on the shareholders'

strong capital strength, stable business style and extensive customer base, it wholeheartedly provides one-stop financial services for high-quality enterprises and securities brokerage services for institutional investors and individual clients.