Equities Compliance Officer

Job Title: Equities Compliance Officer
Contract Type: Permanent
Location: Hong Kong
Reference: GL-180506-1
Contact Name: Grace Liu
Contact Email:
Job Published: June 05, 2018 17:29

Job Description

Our client, a leading securities firm, is looking for a VP/SVP level of compliance officer.


  • Obtain regulatory approval to operate brokerage (Fixed income dept.) in HK and establish internal control function, including compliance department
  • Conduct compliance monitoring and investigation
  • Provide regulatory & compliance advice to directors & shareholders and draft internal procedures
  • Conduct KYC and due diligence


  • Bachelor’s degree or higher (degree in law is preferable, but not a must)
  • At least 3-5 year experience in sell-side compliance
  • experience in equities compalince is highly preferred
  • Solid knowledge of SFC framework
  • Self-starter, proactive with strong critical thinking skills
  • Good interpersonal and communication skills
  • Fluency in English is mandatory

Interested candidates, please send an updated CV with your current/expected salary information to and Only shortlisted candidates will be contacted. Thank you!

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