Compliance Officer / Senior Officer (Securities firm) very good salary

Compliance Officer / Senior Officer (Securities firm) very good salary


  • Assist in monitoring and managing the daily compliance works for the Group’s business activities, ensure to comply with the internal policies and external regulations
  • Responsible for conducting AML, KYC and other compliance checks such as Independent Check during the course of daily business operation
  • Provide compliance guideline to the business units such as asset management, private equity and corporate finance to ensure in compliance with the rules and regulations set by SFC
  • Assist in the implementation of the compliance manual, review and update the policies and procedures periodically
  • Handle licensing issues and information requests from SFC and business units
  • Coordinate the compliance trainings such as CPT with the license staffs, record and keep track their CPT hours


  • Degree holder in Business or related disciplines
  • 2 years’ relevant experience related to the industries of asset management and corporate finance, relevant experience in handling private equity business is highly preferred
  • Familiar with Securities and Futures Ordinance related to RA1, 4, 6, 9 AML legislation and other relevant regulatory requirements
  • Knowledge in handling the license application for the business units
  • Independent, self-motivate with good communication skills
  • Good command of written & spoken in English and Chinese (incl. Putonghua)

Working Location: Central

Interested parties please send your CV to or contact us at 2520 0103 for more information or any questions.

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Very good

2 years



Enquiry: 2520 0103

To apply for this job, please send your CV to

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