SFC Compliance Specialist – Licensing & Training

Leadingnation; Hong Kong; On-site; HKD 300,000 - 500,000; Full time

Job summary

A top-tier financial institution in Hong Kong is looking for a Compliance Officer to join their Central Compliance team. This role involves managing licensing matters, conducting compliance training, and assisting with regulatory inquiries. The ideal candidate will have a Master's degree, strong communication skills in English, Cantonese, and Putonghua, along with relevant experience in compliance within the finance sector. Knowledge of local regulatory requirements is essential.

Qualifications

• 1-2+ years of experience in compliance testing or internal audit.
• Knowledge of Hong Kong SAR markets and regulatory requirements.
• Experience with local regulators is advantageous.

Responsibilities

• Manage SFC licensing matters and applications.
• Follow up on compliance declarations from new joiners.
• Handle notifications of suspicious violations.
• Maintain internal records for compliance.
• Assist in compliance training sessions.
• Collaborate with IT on system enhancements.
• Provide information for SFC regulatory inquiries.
• Address auditor requests responsibly.

Skills

Fluent in English

Cantonese

Putonghua

Strong communication skills

Interpersonal skills

IT knowledge

Education

Master degree in Business or related disciplines

Tools

MS Word

Excel

Job description

A top-tier financial institution in Hong Kong is looking for a Compliance Officer to join their Central Compliance team. This role involves managing licensing matters, conducting compliance training, and assisting with regulatory inquiries. The ideal candidate will have a Master's degree, strong communication skills in English, Cantonese, and Putonghua, along with relevant experience in compliance within the finance sector. Knowledge of local regulatory requirements is essential.