Compliance Officer Transformation Specialist

2 months ago


Hong Kong, Central and Western District, Hong Kong SAR China Classy Wheeler Limited Full time

We are seeking a skilled Compliance Officer to join our team at Classy Wheeler Limited in Hong Kong. This role offers an excellent opportunity to work with a renowned financial services group that is continuously growing its securities and futures division.

Job Overview

The successful candidate will be responsible for ensuring that company policies, internal control procedures, and manuals are up-to-date with regulatory requirements and monitor adherence to these policies. Additionally, they will maintain Continuous Professional Training records of licensed representatives and liaise with SFC, HKEX, and regulators for any inquiries and requests.

Key Responsibilities
  • Develop, draft, and review a broad range of legal documents, announcements, notices, board resolutions, shareholders' resolutions, and company secretary documents.
  • Assist in consultation raised by the operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy.
  • Keep abreast of new regulatory requirements published by SFC, etc.
Requirements
  • University degree in Law, Finance, or related disciplines.
  • Minimum 2 years of relevant experience from securities firms.
  • Good knowledge of the SFO and SFC codes and guidelines.
  • Detail-oriented, able to work independently and mature.
  • Excellent written and spoken English and Chinese (Cantonese).
Salary and Benefits

The estimated salary for this position is around $80,000 - $120,000 per annum, depending on experience. The company offers a competitive benefits package, including health insurance, retirement plan, and paid time off.


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