Regulatory Compliance Officer Regulatory Compliance Officer …

Madison Pearl
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Madison Pearl
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Madison Pearl is partnering with an interesting strategic partner who are in search for a Compliance Officer, one of the leading providers in financial services. This role will report directly to the compliance head.

Key responsibilities:

  • Ensure entity wide compliance with relevant legal and regulatory requirements particularly AML, licensing and trading rules.
  • Implement and manage processes in partnership with the business to ensure compliance with SFC & HKEx Licensing requirements. This includes application of SFC licenses, submission of annual returns, management of organisational competency requirements and effective control room functions.
  • Assist to build a robust compliance framework across the business enabling strategic insight to manage regulatory risks.
  • In a dynamic and increasingly complex regulatory environment, support the business with effective compliance advice.
  • Manage the day to day running of Compliance including AML reviews, respond to audits, liaise with regulators.
  • Identify emerging regulatory trends.
  • Ensure that policies remain current with legal and regulatory requirements.
  • Represent the business with competence and professionalism in responding to regulatory and compliance inquiries, including the reporting of regulatory breaches.
  • Manage the organisational training needs including the delivery of internal/external training; dissemination of regulatory developments to the front office; and ensuring that licensed individuals fulfill their yearly CPT requirements.
  • Submission of SFC Quarterly and Annual filings – business registration, audited financial statement, SFC and HKEX licenses annual return for company and individuals.


Key requirements:

  • Minimum 3 years of relevant Compliance experience. Experience in electronic broking in the institutional investor client sector (ie. no retail) would be an advantage.
  • Detailed knowledge of the general tools and techniques of compliance in relation to broking and good technical abilities.
  • Attention to detail is essential.
  • An understanding of the SFO and SFC Codes and Guidelines.
  • Superior communication and interpersonal skills must demonstrate the ability to build positive, stable relationships across all levels of the business.
  • Meticulous in the delivery of the Compliance function, with a focus on providing excellence to internal and external stakeholders.
  • Ability to adapt and prioritise in a fast paced, and changing commercial environment
  • Competence in building and contributing to an effective team.
  • Fluency in written and spoken English, Cantonese an added advantage but not necessary.
  • High level competency with Microsoft Office suite programs.
  • Qualifications in Law or a business-related discipline will be advantageous


Interested candidates please apply to this advertisement directly or send your CV to