Compliance Associate

Job Title: Compliance Associate
Contract Type: Permanent
Location: Hong Kong
Industry: Financial Services
Reference: 52767_1673421182
Contact Name: Sophia Liang
Contact Email:

Job Description

<span id="mce_marker" data-mce-type="bookmark">​</span><span id="__caret">_</span>Job Description:

  • Provide practical compliance advice for business such as retail and institutional brokerage, global markets business and businesses of the Group
  • Monitor business operation of SFC licensed corporates of the Group and formulate and update internal policies and procedures to ensure relevant compliance standards are complied with
  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Assist in managing the implementation and enforcement of internal company policies and external laws and regulations (i.e. SFC/ HKEX requirements)
  • Provide staff training related to compliance guidelines and requirements
  • Liaise with SFC, HKEX and regulators for any inquiries and requests
  • Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML/KYC suitability policy
  • Keep abreast of new regulatory requirements published by SFC, HKEX and FATCA etc
  • Perform ad-hoc tasks and projects


  • University degree in Law, Finance or related disciplines
  • Minimum 5+ years of relevant experiences in financial industry and SFC licensed corporates
  • Sound knowledge of the SFO and SFC Codes and Guidelines
  • Knowledge of HKEX Rules and Guidance is an advantage
  • Detail-oriented, self-motivated and able to work independently
  • Excellent written and spoken English, Cantonese and Mandarin
  • Candidate with less experience will be considered as Analyst, Compliance

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.

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