Compliance Officer

Job Title: Compliance Officer
Contract Type: Permanent
Location: Hong Kong
Reference: JW-190423-1
Contact Name: Justin Wan
Contact Email:
Job Published: April 25, 2019 13:37

Job Description

Compliance Officer (Top Tier Japanese Asset Management firm)


We are looking for a high caliber Compliance Officer for our client, a Top Tier Japanese Asset Management firm. 



  • Compliance check on staff and funds trading, confirm no irregularity is happened.

  • Review and update internal guidelines and policies for both HK and Shanghai office according to the rules and regulations of HK and Shanghai

  • Monitor Compliance of both internal and external rules, regulations and guidelines

  • Advise Management on any Compliance issues or Compliance inquiries and identify potential impacts

  • Evaluation legal documents and liaise with lawyers for professional comments

  • Coordinates with the SFC for all Compliance issues (i.e. licensing, reporting, company inspection, etc)

  • Responsible for monthly compliance meeting with Tokyo head office and Shanghai office

  • Monitor and data update of Continuous Professional Training records for all staff and recommending training courses to staff in necessary

  • Alert the Managing Director and the General Manager to take disciplinary action if any staff member breaking the rule or regulations.

  • Support the General Manger for the administration work (e.g. legislation update, collaborate for regulatory submission, etc.)

  • Take business trip to Shanghai office at least once a year



  • University degree or above

  • 1 to 3 years’ experience in the capacity of compliance in finance industry

  • Having experience to communicate with SFC (especially the application of license)

  • Fluent in English, Cantonese and Mandarin


Interested candidates, please kindly send your detailed resume including:

1) Current and expected salary

2) Availability

3) Reason for leaving current and past employments

directly to: and

Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.

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