Job Description

Compliance Officer - Advisory Compliance

Hong Kong (China)

Full-time

Finance

Responsibilities

Job Summary: We are seeking a dedicated and experienced Compliance Officer to join our team. The ideal candidate will provide day-to-day compliance advisory to various business units, handle compliance-related projects, and contribute to business planning and processing. This role requires over 10 years of experience in a sizeable SFC-regulated financial institution, with solid expertise in providing compliance advisory services. Key Responsibilities - Manage and oversee compliance-related projects, ensuring full adherence to applicable regulatory requirements - Handle compliance advisory matters raised by different stakeholders, including but not limited to regulatory standards and marketing materials - Develop and implement compliance policies, procedures, controls, and ongoing monitoring programs - Provide guidance and support to various departments on compliance matters - Liaise with regulatory bodies and ensure timely and accurate regulatory reporting - Stay abreast of regulatory developments and ensure the organization’s compliance framework remains current and effective - Acting as Deputy Head to support the Head of Legal & Compliance in handling assigned matters

Qualifications

• Bachelor’s degree in law, Finance, Business, or a related field - Over 10 years of relevant compliance advisory experience within a sizeable SFC-regulated financial institution - Strong understanding of global financial markets, with solid knowledge in Hong Kong and U.S equities & options, China A/H shares, ETFs, derivatives, and cross-border investment products - Experience in supervising staff is preferred - Excellent analytical and problem-solving skill - Strong communication and interpersonal skill - Ability to work independently and as part of a team - Detail-oriented with a high level of accuracy

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