Associate Compliance

Job Title: Associate Compliance
Contract Type: Contract
Location: Central
Industry: Financial Services
Reference: 50373_1651231302
Contact Name: Sophia Liang
Contact Email:

Job Description

Job Highlights

· Chinese SFC license corporation/securities brokerage firm

· 1-3 years of relevant regulatory compliance experience

· IANG visa holder welcome, budget HKD20k per month

About the Company

Our client is a Chinese securities brokerage firm. Recently, they are looking for an Associate Regulatory Compliance Officer to join their Compliance Team in Hong Kong.

About the Role

· Handle and liaise with SFC on licensing matters and other enquiries

· Implement and manage new compliance program for business checking.

· Advise management on the company's compliance with regulations through detailed reports.

· Assess company operations to determine compliance risk.

· Handle and review all enquiries raised by clients regarding client onboarding

The successful Applicant

· Degree in Finance, Accounting or other applicable fields.

· 1-3 years of relevant regulatory compliance experience in Securities Brokerage firms.

· Experience with compliance review in AML, brokerage.

· Good communication skills and organizational ability.

· Fluent in English, Cantonese and Mandarin.

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