Senior Compliance Officer - Securities & HK Regulation

Classy Wheeler Limited; Hong Kong; Sur place; HKD 420 000 - 660 000; Plein temps

Résumé du poste

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.

Responsabilités

• Ensure compliance with company policies and regulatory requirements.
• Maintain Continuous Professional Training records of licensed representatives.
• Liaise with SFC, HKEX and other regulators.

Connaissances

Attention to detail

Regulatory knowledge

Communication skills

Independence

Formation

University degree in Law, Finance or related disciplines

Description du poste

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.