Compliance Assistant

About the role
Financial One Platform Services Limited is seeking a Compliance Assistant to join our Financial Services team. This is a full-time position based in the Tsim Sha Tsui. The Compliance Assistant will play a vital role in supporting our compliance and risk management operations, ensuring that the organisation maintains the highest standards of regulatory adherence and risk mitigation.

What you'll be doing

• Supporting the monitoring and reporting of regulatory compliance activities to ensure adherence to applicable laws, regulations and internal policies

• Conducting routine compliance checks and audits of Assisting in the development, implementation and maintenance of compliance policies and procedures across the organisation

• business processes to identify potential risks and areas for improvement

• Preparing compliance documentation, reports and correspondence for submission to regulatory authorities and internal stakeholders

• Assisting with the coordination of training and awareness programmes for staff on compliance and regulatory requirements

• Supporting the investigation of compliance breaches and exceptions, documenting findings and recommending corrective actions

• Maintaining accurate records of compliance activities, audit trails and regulatory filings

• Liaising with relevant departments and external parties to gather information and ensure compliance requirements are met

• Supporting the compliance team in responding to regulatory enquiries

What we're looking for

• A qualification in Finance, Accounting, Law, Business Administration or a related discipline, or equivalent professional experience

• Strong knowledge of financial services regulations applicable to Hong Kong and international jurisdictions

• Excellent attention to detail with strong analytical and problem-solving abilities

• Proficiency in Microsoft Office applications, particularly Excel, Word and PowerPoint

• Strong written and verbal communication skills in English and Cantonese; Mandarin is preferred

• The ability to work independently and as part of a team in a fast-paced environment

• Familiarity with compliance management systems and regulatory reporting tools

• A proactive approach to staying informed of regulatory changes and industry developments

• Prior experience in a compliance, risk management or similar role within the financial services sector is advantageous

Apply now
If you meet the above requirements and are interested in joining our compliance team, we encourage you to submit your application including your CV and a covering letter. We look forward to hearing from you.