Compliance Officer
Laichikok, Kowloon

Compliance Officer

Company : Corporation / Salary : $Negotiable


  • Provide support in establishing and performing all compliance functions to ensure the Company adheres to relevant legal and regulatory requirements.
  • Prepare and review surveillance reports and follow up on any exception identified..
  • Handle research clearance for publication of analyst reports.
  • Assist to handle regulatory reporting matters.
  • Handle licensing and CPT related matters.
  • Assist to handle regulatory and audit enquiries.
  • Assist to perform compliance reviews.
  • Report to supervisor and Head of Legal & Compliance on job progress from time to time.
  • Perform ad-hoc compliance projects.
  • Requirements

  • Degree holder in Law, Accounting or related discipline.
  • Minimum 1 year’s compliance experience in a sizable financial institutional and / or regulatory body.
  • Good knowledge in securities laws, operations, products and services.
  • Self-motivated, well-organized, independent and pleasant personality with good communication skills at all level.
  • Good command of written and spoken English and Chinese (including Putonghua).
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