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Recruit Ref: L050324224
Posting Date: 2022-09-29

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.

Above and beyond the assignment itself, we build long term relationships as your partner, and add values that help organizations and individuals grow.

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Senior Compliance Officer (Securities 1246)


  • Develop and conduct compliance monitoring program and performs internal ad hoc investigation
  • Oversee and monitor CDD, AML and KYC functions
  • Develop, update and review policies, procedures and guidelines from the compliance perspective and circulates to staff for compliance purpose
  • Handle enquiries from regulators and external parties
  • Develop training materials and coordinates compliance / AML trainings
  • Handle ad hoc tasks as assigned


  • Degree holder in finance, accounting, law or related disciplines
  • Minimum 3 years of relevant experience working in securities broker firm
  • Sound knowledge of the SFO and other relevant codes and regulations as well as rules and regulations of IA and MPFA
  • Good knowledge in AML / KYC and back / middle office operation is preferential
  • Fluent in English and Chinese (Proficiency in Mandarin will be an advantage)
  • Good team player and self-motivated with strong sense of responsibility, organizational and problem solving skills

Banking / Finance / Securities / Investments 
Job Position Level:
Employment Term:
Min. Edu. Level Req:
Minimum QF Level attained:
Total Working Exp:
-- (Monthly)
Central & Western District
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