Compliance Officer / Senior Compliance Officer

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • China Oceanwide International Financial Limited
  • 07 Sep 17

We are recruiting a suitable candidate for the captioned position, who will be reporting to the Compliance Manager and mainly responsible for handling the compliance matters of our expanding securities and futures brokerage business.

(Ref No.: J-1743)


Job Responsibilities: 

  • Preparing licence applications for front-line staff
  • Carrying out daily monitoring of trading activities to identify potential non-compliance incidents and irregularities, including but not limited to money laundering and market misconduct
  • Reviewing product due diligence, client suitability and disclosure issues arising from distribution of investment products
  • Compiling responses to enquiries and requests for information from regulatory bodies


Job Requirements:

  • Hold a university degree, post-secondary diploma or professional qualification, preferably in finance / accounting / business / legal disciplines
  • At least three years of experience in the financial industry or auditing field preferred
  • Mature, responsible, independent and attentive to details
  • With excellent communication and interpersonal skills


We offer attractive salary, benefits and 5-day workweek to the successful applicant.  Please send your resume with present and expected salary to the Group Human Resources Manager. (Please quote the job reference number on the email subject line.)


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