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Securities Governance Expert

1 week ago

Hong Kong Island, Hong Kong SAR China Classy Wheeler Limited Full time

About This Opportunity

Classy Wheeler Limited is a leading securities brokerage firm in Hong Kong, seeking an exceptional Compliance Officer to join our team. As a key member of our compliance team, you will play a vital role in ensuring our operations adhere to regulatory requirements and maintaining the highest standards of ethics and integrity.

Key Responsibilities

  1. Develop and maintain comprehensive compliance programs to mitigate risks and ensure regulatory compliance.
  2. Provide expert guidance on compliance best practices and regulatory requirements to colleagues and stakeholders.
  3. Liaise with regulatory bodies, such as the SFC, to address inquiries and requests.
  4. Assist in the review and update of company policies, procedures, and manuals to ensure ongoing compliance.
  5. Stay informed about regulatory developments and updates from the SFC and other relevant authorities.

Requirements

  1. Law, Finance, or related degree.
  2. Minimum 3 years of experience in the financial industry, preferably in securities firms.
  3. Thorough understanding of the SFO and SFC codes and guidelines.
  4. Strong analytical and problem-solving skills, with excellent communication and interpersonal abilities.