Senior Regulatory Compliance Specialist

4 days ago


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

Classy Wheeler Limited, a renowned listed securities brokerage company in Hong Kong, is seeking an experienced Senior Regulatory Compliance Specialist.

About the Role

The successful candidate will be responsible for ensuring that company policies and internal control procedures are up-to-date with regulatory requirements and monitor adherence to these policies.

Key Responsibilities

  • Provide staff training on compliance guidelines and requirements.
  • Liaise with regulators for inquiries and requests.
  • Assist in consultation raised by the operation team relating to compliance issues.
  • Stay up-to-date with new regulatory requirements published by the SFC and FATCA.

Requirements

  • Degree in Law, Finance, or related disciplines.
  • At least 3 years of relevant experience in the financial industry (securities firm preferred).
  • Good knowledge of the SFO and SFC codes and guidelines.
  • Detail-oriented, mature, and able to work independently.

Salary and Benefits

We offer a competitive salary range of HKD 80,000 - HKD 120,000 per annum, depending on qualifications and experience. In addition, we provide a comprehensive benefits package, including medical insurance, pension plan, and generous annual leave.



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