VP Compliance Officer - Securities Firm

Job Title: VP Compliance Officer - Securities Firm
Contract Type: Permanent
Location: Hong Kong
Reference: SK180613-1
Contact Name: Satoko Kubota
Contact Email:
Job Published: June 14, 2018 16:38

Job Description

Our client, a well known Securites Firm, is looking for VP Compliane Officer as below.


  • Provide regulatory advice to business unit,
  • Review and update procedure manuals to ensure processes in compliance with regulations and internal policies,
  • Conduct compliance monitoring review,
  • Handling regulators enquiries and client complaints,
  • Handling enquiries and prepare reports as requested by Head Office,
  • Coordinate and provide compliance training (e.g. Compliance, AML & CPT) to in-house staff


  • Degree holder in law, finance, accounting or related disciplines
  • Minimum 8 to 10 years’ solid experience in the field of financial industry (esp. good experience in securities business)
  • SFC experience is preferred (ie Sound knowledge in SFC rules and regulations)
  • People-oriented and team players
  • Proficiency in both written and spoken English, Chinese and Mandarin

Interested candidates, please send an updated CV to and .  Only shortlisted candidates will be contacted. Thank you!

Get similar jobs like these by email

By submitting your details you agree to our T&C's