It is noticed that recently our company was quoted by unauthorized parties through Whatsapp claiming to help others to search for full-time or part-time jobs. Fraud name cards with logo and website were even provided in the messages. The issue has been reported to the Police.

We hereby alert all parties to pay special attention to suspicious messages using our company name. In case of doubt, please feel free to contact us at (852) 2854-2228 for clarification.

Senior Officer / Assistant Manager – Compliance (Securities House)

Senior Officer / Assistant Manager – Compliance (Securities House)


  • Review the company’s current and new business to ensure product and services are in compliance with all relevant rules and regulations
  • Handle SFC license applications, requisite filings, notifications and liaising with SFC in relation to the license matters, etc.
  • Monitor record of and provide continuing professional training (“CPT”) materials to relevant staff
  • Handle employee dealings, restricted list control and other corporate surveillances issues
  • Provide compliance support in reviewing legal documents, website materials and research report
  • Undertake regular compliance monitoring reviews
  • Liaise with regulatory authorities on enquiries, reporting, inspection and/or investigation
  • Update and/or enhance internal policies and procedures to ensure they timely reflect current rules and regulations, industry best practice and changes in business structure / activities


  • Degree in Law, Accounting, Finance or other related discipline
  • 2 – 3 years’ relevant experience
  • Understand SFO and related regulatory requirements
  • Good command of spoken & written English, Cantonese and Mandarin
  • Independent and willing to work under pressure


Interested parties please send your FULL RESUME (in MS Word format) with availability, current and expected salary to or you can call us at (852) 2520-0284 for more information.

For more job opportunities, please visit our career wonderland at

Sheung Wan

Enquiry: 25200284

To apply for this job, please send your CV to

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