Securities Brokerage - Compliance Officer (2-4 years exp)

Job Title: Securities Brokerage - Compliance Officer (2-4 years exp)
Contract Type: Permanent
Location: Hong Kong
Ref: GL180510-1
Contact Details: Grace Liu
Contact Email:
Published: 4 months ago

Our Client, a renowned Securities firm, is urgently looking for a Compliance Officer. 



  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Provide staff training related to compliance guidelines and requirements
  • Liaise with SFC and regulators for any inquiries and requests
  • Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy
  • Keep abreast of new regulatory requirements published by SFC and FATCA etc.


  • University degree in Law, Finance or related disciplines
  • Minimum 2 years of relevant experiences in financial industry
  • Good knowledge of the SFO and SFC codes and Guidelines
  • Detail-oriented, able to work independently and mature
  • Excellent written and spoken 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.