Assistance Compliance Officer.

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Hong Kong Asset Management Limited
  • 20 Mar 18 2018-03-20

Hong Kong Asset Management Limited is looking for a talented and passionate assistant compliance officer to join our team.

Assistant Compliance Officer


  • Assist in develop and enhance the compliance frameworks in relation to the Company's various business activities and initiatives
  • Assist in consultation raised by operation team and management of the Company relating to compliance issues, including due diligence and AML / CTF / KYC risk management
  • Review and distribute internal management report related to compliance issues
  • Handle SFC licensing matters, registration work, enquiries and prepare various reports as required
  • Update compliance policies and procedures with information on the latest regulatory requirements
  • Work closely with back office, front office, internal and external auditors and regulatory authorities on compliance issues
  • Knowledge of securities and investment products and their operation is an advantage but not compulsory
  • Perform ad hoc projects as required


  • Bachelor degree in Accounts / Finance /Business / Legal Studies or related discipline(s)
  • At least 2-3 years of compliance experience in brokerage firms or financial institutions / experience in Legal & Compliance Department of financial institutions of Hong Kong, preferably banks
  • Good understanding of SFC codes and regulatory requirements of securities brokerage industry
  • A team player with strong communication and analytical skills as well as high degree of professional maturity
  • Able to work independently
  • Excellent verbal and written communication skills both in Chinese and English
  • With solid knowledge in application of SFC & local regulatory requirements
  • Responsible, hardworking and well-organized