Compliance Officer / Compliance Associate

Responsibilities:

• Handle General Compliance related matters
• Handle enquiries, inspections, audits from regulators and external parties
• Assist in compliance monitoring and internal reviews
• Handle staff dealing review and monitoring
• Review to ensure company policies, internal control procedures & manuals are up to date with regulatory requirements
• Keep abreast of new regulatory requirements published by SFC and HKEX etc.
• Coordinate and conduct internal training on Compliance related matters
• Handle other compliance / ad hoc assignments from time to time

Requirements:

• Bachelor’s degree holder in Law, Accounting, Finance, or related field
• 2-3 years relevant experience, preferably in banks or securities/ audit firms
• Strong command of spoken and written business English and Chinese
• Proficient in MS Word, including Word, Excel and PowerPoint
• Meticulous, independent, good communication and interpersonal skills, willingness to learn and ability to multi-task
• Good team player and self-motivated with strong sense of responsibility, organizational and problem-solving skills
• Candidate with less experience will be considered as Compliance Associate
• Fresh graduate is also welcome
• Immediate available is preferred
• Effectively using AI is preferred