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Introduction:

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

Responsibilities:

• 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.

 

 

Requirements:

• 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