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Compliance Officer

2 months ago

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

**Job Summary**

Classy Wheeler Limited is seeking a highly skilled Compliance Officer to join our team in Hong Kong. As a Compliance Officer, you will play a critical role in ensuring our company's policies, internal control procedures, and manuals are up-to-date with regulatory requirements and monitor adherence to these policies.

Key Responsibilities:

  • Ensure that company policies, internal control procedures, and manuals are current and compliant with regulatory requirements.
  • Maintain accurate records of Continuous Professional Training for licensed representatives.
  • Collaborate with regulatory bodies, such as the SFC, HKEX, and other relevant authorities, to address inquiries and requests.
  • Provide support to the operation team on compliance-related matters, including due diligence and AML/PDD/KYC suitability policy.
  • Stay informed about new regulatory requirements published by the SFC and other relevant authorities.
  • Develop, draft, and review a wide range of legal documents, announcements, notices, board resolutions, shareholders' resolutions, and company secretary documents.

Requirements:

  • University degree in Law, Finance, or a related field.
  • Minimum 2 years of relevant experience from securities firms.
  • Strong 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).