Senior Associate, Compliance (Perm/ Brokerage)

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Captiare Limited
  • 16 Mar 18 2018-03-16

Our client is one of the five large Chinese Banks. Their line of business comprises corporate finance, investment and loans, asset management and advisory, etc. Due to expansion, they are seeking for an experienced compliance professional to join their brokerage team.


  • As one of the key members to liaise with regulatory bodies, exchange internal and / or external auditors
  • Develop and maintain / enhance compliance related policies and procedures as well as proper internal control to ensure that Company's activities are in compliance with latest statutory and regulatory requirements
  • Analyse the testing and controls procedures to ensure that the compliance monitoring is conducted effectively
  • Perform surveillance for trading activities
  • Involve in new products launching procedure, providing day-to-day compliance advice to different business lines
  • Review and approve client KYC / due diligence reports
  • Responsible for overseeing the KYC process
  • Review and draft internal and / or external agreements
  • Perform central compliance functions, for instance conduct staff training / CPT monitoring / reporting functions, etc.
  • Ad hoc projects and administrative duties



  • University graduate in Legal, Accounting, Finance, Risk, or any related discipline(s)
  • At least 4 years of experience in general compliance gained from the securities brokerage firms
  • Solid understanding of the Securities and Futures Ordinance, SFC rules and regulations
  • Good knowledge in investment products, fund setup and practices in FATCA are advantageous
  • Self-motivated, confident, detail-oriented, willing to learn, flexible, able to multitask and strong analytical skills
  • Fluency in written English and Chinese, verbal fluency in Mandarin is a plus