Executive/Officer, Legal and Compliance (Central Compliance)
Convoy Global Holdings Limited
Wan Chai, Hong Kong, HK

As the leading financial advisory firm in Hong Kong, Convoy upholds its core values of Passion, Integrity and Professionalism in providing the best advices and service to help customers investing in their future.

Due to our business expansion, we are looking for high calibre candidates to share our vision and venture our success.

Responsibilities :

  • Reporting to Senior Manager, assist to provide daily compliance support for the Central Compliance Team.
  • Assist to handle preliminary compliant review on company marketing events and materials.
  • Handle licensing applications and follow up matters, including IA / MPFA / SFC.
  • Assist the Senior Manager in providing compliance training to staff and new joiners.
  • Coordinate and respond to enquiries from regulators.
  • Assist in raising and maintaining compliance awareness among staff by providing timely information and update.
  • Perform compliance review on a semi-annual basis
  • Provide compliance administrative support.
  • Participate and assist in ad hoc projects as assigned.
  • Requirements :

  • University graduate in Law, Finance, Accounting, or equivalent.
  • 2 years’ compliance experience in financial industry is preferred (but not a must). Fresh graduates are welcome.
  • Logical thinking with strong sense and knowledge on regulatory requirements.
  • Good command of written & spoken English and Chinese, Mandarin a plus.
  • Proficiency in PC skills and MS office applications, such as Excel and MS Word.
  • Responsible, trustworthy with positive attitude, high integrity and a good team player.
  • Candidates with growth mindset and willingness to learn a must.
  • Candidates with less experience will be considered a junior role as Executive.
  • We offer competitive remuneration including career prospects to the right candidate.


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