Compliance Officer/Analyst

Job Title: Compliance Officer/Analyst
Contract Type: Permanent
Location: Hong Kong
Salary: Negotiable
Reference: 49149_1642417823
Contact Name: Jessie Chan
Contact Email:
Job Published: January 17, 2022 19:10

Job Description

About Our Client

My client is a growing securities firm with SFC license type 1,2,4, 6 and 9 and they are looking for a compliance officer/analyst.

About The Role

  • Handle general enquiries from SFC, HKEx and other regulators;
  • Coordinate and liaise with regulators and frontline staffs on all licensing matters;
  • Perform compliance monitoring such as declaration of staff dealing and fulfillment of CPT requirement;
  • Facilitate the regulatory inspection and prepare documents/responses as required;
  • Conducting trading compliance surveillance;
  • Undertake other ad hoc projects as required.


  • Bachelor's degree in Law, Corporate Governance, Finance or Accounting or other related disciplines;
  • 2-3 years or above relevant experiences in securities firm or financial institution;
  • Experience in AML, fintech, finance, data privacy, legal, compliance and / or the relevant fields would be a plus;
  • Knowledge with SFC's regulation is preferable
  • Strong command of both written and spoken English and Chinese is a MUST;
  • Proficiency in Microsoft Office and Exchange
  • Detail-oriented and highly motivated mindset

Click "Apply Now" to apply for this position or call Jessie Chan at +852 3180 4945 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.