Compliance Officer

Summary:
Our client is a consistently growing SFC-licensed securities firm based in Hong Kong. Backed by robust financial performance and to ensure a strong commercial momentum, they are looking for a Compliance Officer to cope with their business expansion needs.

Responsibilities:

• SFC & Product Compliance: Support to ensure full compliance with SFC requirements for investment product distribution, including suitability assessments, electronic dissemination, and marketing guidelines/circulars.
• Policy & Manual Maintenance: Draft, update, and maintain the firm’s compliance manuals and internal control policies for all regulated activities.
• Complaints & Regulatory Liaison: Manage and resolve client complaints within regulatory timelines, and serve as the primary contact for liaising with the SFC.
• Regulatory Monitoring: Monitor regulatory updates, conduct impact assessments, and provide timely advice to senior management.
• Staff Training: Organize and deliver regular compliance training to all licensed staff.

Requirements:

• Bachelor’s degree holder
• With 4+ years’ of compliance experience in SFC-licensed securities firms
• Strong understanding of the SFO, SFC Code of Conduct, and fund compliance
• Fluent in written and spoken English and Chinese (including Mandarin and Cantonese)