Senior Officer / Assistant Manager

Job Title: Senior Officer / Assistant Manager
Contract Type: Permanent
Location: Hong Kong
Reference: JW190802-1
Contact Name: Justin Wan
Contact Email:
Job Published: August 07, 2019 10:00

Job Description

Senior Officer / Assistant Manager, Compliance


Our client, one of the Multiple business Group is now looking for Senior Officer / AM - Legal & Compliance to join their elite team.


Job Responsibilities:

  • Assist in opening client accounts and conducting customer due diligence including AMLand KYC checking

  • Assist in designing and implementing relevant compliance monitoring and reviews to ensure all business activities are in compliance with the applicable legal and regulatory requirements

  • Assist in handling licensing applications, filings with SFC and CGSE, as well as updating CPD records

  • Liaise with external regulatory authorities (e.g.SFC and CGSE), legal counsels and/or external consultants when required

  • Draft and review various agreements, as well as compliance policies and procedures

  • Provide advisory services to the management and various business units

  • Keep abreast of the market and regulatory updates, and ensure the staff members are well aware of those changes


Job Requirements:

  • Bachelor degree in Business Law, Economics, Finance, Accounting or other related disciplines; with law background such as LLB/ LLM/JD degree is highly desirable

  • Minimum 4 years’ relevant experience, preferably gained from local regulators, and/or compliance departments of securities brokerage firms; with exposure to handling paralegal related tasks an advantage

  • Experience in dealing with SFC/ CGSE a plus

  • Mature, hardworking, a good team player; with strong sense of responsibility, good inter-personal and communication skills

  • Good command of both spoken and written English & Chinese; proficiency in Mandarin an advantage


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.