Senior Compliance Officer

  • All round development
  • Hong Kong
  • Permanent, Full time
  • Mario Recruitment Limited
  • 14 Jan 18 2018-01-14

My client is a renowned professional consultancy company in Hong Kong, offering SFC regulatory and compliance advisory services to financial intermediaries. Their clients include brokerage houses, futures trading companies, corporate finance advisors, funds trading platforms, independent financial advisors, asset management companies and private equity firms. They are now seeking for highly motivated candidates for their expanding business:


Job Responsibilities:

  • Manage and ensure policies and procedures are in compliance with Securities and Futures Ordinance and Codes and Guidelines;
  • Assist in all SFC regulated activities to ensure full regulatory compliance and good market practice;
  • Analyze potential risks of non-compliance and identify areas for improvement with remedial measure and provide recommendations to management accordingly; and
  • Establish, enhance, monitor and perform compliance controls over operations and business activities

Job Requirements:

  • University graduate (preferably in Law or Accountancy), professionally qualification in CPA/CFA would be an advantage;
  • At least 3-4 years' solid compliance experience in sizeable financial intermediaries or regulator;
  • Familiar with the Securities and Futures Ordinance and Codes and Guidelines issued by the Securities and Futures Commission;
  • Well organized, self-motivated and good interpersonal skill; and
  • Good command of spoken and written English, Cantonese and Mandarin.
  • Candidate with less working experience/fresh graduate will be considered for the post of Compliance Consultant