Associate, Regulatory Compliance

Job Title: Associate, Regulatory Compliance
Contract Type: Contract
Location: Central, Central and Western District
Salary: Negotiable
Reference: 50373_1651231697
Contact Name: Sophia Liang
Contact Email:
Job Published: April 29, 2022 19:28

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.

Click "Apply Now" to apply for this position or call Sophia Liang at +852 3180 4960 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.