Compliance Officer

Job Responsibilities

• Handle compliance inquiries and reporting matters related to SFC Type 1, 7, 9 licenses, with a primary focus on cybersecurity.
• Provide compliance support and guidance for daily licensed operations.
• Identify, assess, and report compliance risks in licensed corporate activities.
• Conduct ongoing monitoring of licensed activities, including staff dealings, transaction surveillance, and communication record reviews, to detect anomalies.

Requirements

• Bachelor’s degree in Law, Finance, Business Administration, or a related discipline.
• At least 3 years of experience in financial industry compliance.
• In-depth knowledge of the Securities and Futures Ordinance (SFO) and its subsidiary regulations, as well as codes and guidelines relevant to securities trading.
• Excellent written and spoken communication skills in both Chinese and English.
• Strong interpersonal and communication skills, with the ability to clearly articulate compliance requirements and influence stakeholders.
• Demonstrates in-depth knowledge of trading systems and cybersecurity.
• Immediate availability is highly preferred.