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(senior) Compliance Officer, General Compliance

Hong Kong, Hong Kong
Last update 2023-11-28
Expires 2023-11-28
ID #1931444285
(senior) Compliance Officer, General Compliance
Hong Kong, Hong Kong,
Modified November 21, 2023


Responsibilities: Provide compliance advice and support business initiativesMonitor regulatory changes and update the policies and proceduresHandle regulatory reporting and inquires with the relevant Exchanges and Regulators Conduct risk assessment and prepare compliance testing plan on the key compliance risk areasDevelop, manage and carry out compliance testing for securities brokerage and other related businesses to evaluate the compliance of business activities with applicable laws, rules and regulations as well as internal policiesProvide value-added recommendations for policy, process and system enhancement to mitigate compliance risksProduce reports with compliance testing findings and recommendations, and to ensure implementation of recommendationsManage internal and external audit, inspections and investigations from the auditors, Exchanges and RegulatorsLiaise and collaborate with different departments to formulate, drive and implement remediation of compliance issuesConduct in-house compliance trainingAssist in ad hoc compliance projects as requiredRequirements:Undergraduate Degree in Law, Accountancy, Finance, or related disciplinesMinimum 3-5 years of work experience in brokerage firms, financial institutions, big 4 audit firm or law firms experience is a plusRobust and solid understanding of SFC Code of Conducts and relevant regulatory requirementsKnowledge of securities and investment products and its operation is a plusPreferable to have project management experience on implementation of new rules, products or businessResponsible, hardworking and well-organized, and able to work under pressureA good team player with strong interpersonal and analytical skills as well as high degree of professional maturity'Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plusWe offer:Double PayFive-Day Work WeekPerformance Bonus

Job details:

Job type: Full time
Contract type: Permanent
Salary type: Monthly
Occupation: (senior) compliance officer, general compliance

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