Compliance – Securities

Talentquest HR Limited; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

TalentQuest HR Limited seeks energetic compliance professionals to join a team handling SFC-related matters in a fast-paced setting. You will investigate cases, coordinate regulatory submissions and manage licensing obligations across departments, ensuring alignment with securities regulations and internal controls.

The role requires strong English and Chinese communication skills, with experience in brokerage and asset management environments.

Qualifications

• 7+ years of compliance experience in securities.
• Experience with SFC regulatory compliance.
• Familiar with brokerage and asset management operations.
• Excellent English and Chinese communication skills.

Responsibilities

• Serve as the primary contact for SFC-related matters and investigate cases.
• Coordinate information requests, prepare submissions and follow up on issues.
• Oversee day-to-day licensing arrangements and advise on regulatory obligations.
• Assess contractual documents from a legal and regulatory perspective for risks and amendments.
• Collaborate with departments to strengthen compliance measures and improve controls.
• Coordinate audits, regulatory reviews and inspections with external bodies.
• Develop and deliver compliance education programs for employees.

Skills

SFC compliance

Regulatory investigations

Audit coordination

English and Chinese

Education

Bachelor's degree

Job description

Our client is now seeking for energetic and highly motivated individuals to join their team.

Responsibilities

Serve as the primary contact for SFC-related matters, investigating cases, coordinating information requests, preparing submissions and ensuring appropriate follow-up on identified issues.

Oversee day-to-day licensing arrangements, including assessing regulatory obligations and advising on licensing-related matters and requirements.

Work closely with various departments to address compliance concerns arising from securities trading, brokerage operations and wealth management activities.

Assess contractual arrangements and corporate documents from a legal and regulatory perspective, highlighting potential risks and recommending necessary amendments.

Collaborate with relevant departments to introduce and strengthen compliance measures, improve operational workflows and enhance the effectiveness of existing internal control mechanisms and systems.

Act as a coordinator for audit exercises, regulatory reviews and inspections, handling information requests and liaising with external auditors, exchanges and regulatory bodies throughout the process.

Develop and deliver compliance education programmes to ensure relevant employees understand their regulatory responsibilities and internal requirements.

Take ownership of designated compliance assignments and participate in special projects in response to business or management needs.

Track changes in applicable laws, regulatory standards and SFC requirements, evaluate their implications for business operations and ensure relevant internal guidelines and policies remain up to date.

Establish and conduct scheduled compliance surveillance and assessment exercises to identify control weaknesses, evaluate potential risks and ensure ongoing regulatory compliance.

Requirements

Degree Holder

7+ years compliance experiences in securities

Familiar with the brokerage and asset management industry

Experience in SFC regulatory compliance

Excellent command of written and spoken English and Chinese