Compliance Officer

  • Commensurate with experience
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • ZH GlobalExec Resources Ltd
  • 16 Apr 18 2018-04-16

Our client is a Main-Board-listed securities house in Hong Kong, with the ambition to set up a full-fledged IBD with M&A capability, a comprehensive range of product offerings as well as Research. The vision is to utilise its platform and be incorporated into its FinTech/online Wealth Management counterparts to serve vast client base both in China and overseas.

Job Details:

  • Handle SFC reporting, licensing and related matters
  • Liaise with SFC for all compliance issues
  • Maintain and review compliance policies, procedures & practices to ensure compliance with all applicable laws, regulations and company policies
  • Draft and review contracts, agreements and related materials
  • Arrange CPT training for internal staff
  • Handle ad hoc assignments


  • University degree holder in Law, Business, Finance or related disciplines
  • Minimum of 2 years or above compliance in financial institutions Knowledge of SFC regulations, SFO and HKEx regulations is preferable
  • Good command of English Cantonese and Mandarin
  • Good analytical, problem solving, interpersonal and presentation skills
  • Attentive to details, organizational skills and able to perform under pressure