Recruit Ref: L050324163
Posting Date: 2022-05-28

We are a team of experienced recruitment agents who work with our genuine hearts to inspire and help anyone who crosses our path.​

In addition to our pool of candidates and job openings, we believe that every case begins with a solid understanding on each candidate's personal background and even the tiniest job specifics — as the foundation of a truly inspired referral.

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Compliance Officer (MNC Securities Type 1,2,4,6)


  • Monitor business operation of SFC licensed corporates of the Group and conduct ML / KYC / Compliance checking to ensure compliance with internal policies and external regulations
  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Provide compliance support and advice for business of the Group
  • Provide staff training related to compliance guidelines and requirements
  • Liaise with SFC, HKEx and regulators for any inquiries and requests
  • Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML /  KYC suitability policy
  • Keep abreast of new regulatory requirements published by SFC, HKEX and FATCA etc
  • Perform ad-hoc assignments



  • Degree holder preferably in Economics, Business Administration, Psychology, Marketing or related disciplines;
  • Detail-minded and attentive to details;
  • Proficient in written and spoken English and Chinese;
  • Self-motivated, strong analytical and coordination skills;
  • Committed, responsible, and willing to work under pressure;


Banking / Finance / Securities / Investments 
Job Position Level:
Employment Term:
Min. Edu. Level Req:
Minimum QF Level attained:
Total Working Exp:
-- (Monthly)
Central & Western District
-- is an online website providing source of employment opportunities. Explore jobs in banking like credit approval jobs, private banking jobs and mortgage jobs. Search other job vacancies in the logistics, merchandising, customer services, retail and software engineering. Other employment terms including contract, part time, and temporary are listed in the site. management trainee and graduate trainee opportunities can be found as well.
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