Our client is a renowned financial services group. To cope with continuous growth in the securities and futures division, they are now urgently looking for a Compliance Officer / Senior Officer to join the team in Hong Kong. Job Description Ensure company policies, internal control procedures, and manuals are up-to-date with regulatory requirements and monitor adherence to these policies. Maintain Continuous Professional Training records of licensed representatives. Liaise with SFC, HKEX, and regulators for any inquiries and requests. Assist in consultation raised by the operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy. Keep abreast of new regulatory requirements published by SFC, etc. Develop, draft, and review a broad range of legal documents, announcements, notices, board resolutions, shareholders' resolutions, and company secretary documents. Job Requirements University degree in Law, Finance, or related disciplines. Minimum 2 years of relevant experience from securities firms. Good knowledge of the SFO and SFC codes and guidelines. Detail-oriented, able to work independently and mature. Excellent written and spoken English and Chinese (Cantonese).
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