Compliance Officer -Securities Brokerage, Japan-based Securities Firm in Central, Hong Kong

by Kitty So in Financial Services
Central, Hong Kong
HKD 1k - HKD 35k


Well established Japan-based securities broker handling HK and Japan Securities is hiring Compliance Officer to cope with growing business in Hong Kong.


  • Handle company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Provide staff training related to compliance guidelines and requirements
  • Liaise with SFC and regulators for any inquiries and requests
  • Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy
  • Keep abreast of new regulatory requirements published by SFC and FATCA etc.




  • University degree in Law, Finance or related disciplines
  • Minimum 3 ~ 5 years of relevant compliance experience in financial industry (securities firm preferred)
  • Good knowledge of the SFO and SFC codes and Guidelines
  • Stable working history, at least 2 years worked at same company preferred
  • Detail-oriented, mature and able to work independently
  • Excellent written and spoken English, Cantonese and Mandarin

Kitty So

Kitty So

For more information about this job opportunity please contact our consultant.

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