Senior Compliance Officer – HK SFC & AML/CFT

PANDA SECURITIES COMPANY LIMITED

Hong Kong

Sur place

HKD 900 000 - 1 300 000

Plein temps

Il y a 2 jours

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Résumé du poste

PANDA SECURITIES COMPANY LIMITED is seeking a senior compliance professional in Hong Kong to lead and advance the firm's regulatory program. The role covers policy analysis, development of manuals and SOPs, and strengthening controls across core risk areas including client assets and AML/CFT.

You will liaise with the SFC, oversee inspections and filings, and advise management on regulatory matters. The ideal candidate has a legal background with HK experience, 5+ years in compliance, and fluency

Qualifications

Experience at a Hong Kong SFC-licensed corporation is required.
Strong knowledge of SFO, Code of Conduct, FRR and AML/CFT obligations.
Experience with SFC inspections, regulatory remediation or compliance framework build-out preferred.

Responsabilités

Conduct analysis of policies, procedures and controls against SFO, Code of Conduct and SFC guidelines.
Develop and update the compliance manual, SOPs and internal controls across activities.
Strengthen controls in key risk areas: client assets, conflicts of interest, suitability, disclosure and AML/CFT.
Act as liaison with the SFC; manage inspections, filings and annual returns.
Monitor regulatory developments, assess impact and implement updates.
Lead internal compliance reviews, audits and remediation tracking.
Deliver compliance training and advise business and management on regulatory matters.