Senior Compliance Officer – Leading Securities Company

  • Excellent for the right candidate
  • Hong Kong
  • Permanent, Full time
  • Cornerstone Global Partners
  • 29 Sep 16

One of Asia’s leading and fastest growing financial conglomerate is looking for a Senior Compliance Officer to join their securities business line based in Hong Kong. On top of promising business development, strong supportive team culture, they provide the most attractive compensation package in the market. You will also get the chance to work with one of the most knowledgeable senior compliance professional’s with a strong reputation and mentorship.


•             Review business documents and related materials to ensure compliance of relevant laws and regulations.

•             Provide legal and regulatory advice for all business transactions and new business initiatives.

•             Perform compliance reviews and self-assessments in accordance with regulatory and internal requirements.

•             Review and update compliance policies and procedures.

•             Liaise with relevant regulators and external parties on legal and regulatory issues

•             Handle licensing issue and conduct monitoring activities

•             Handle ad-hoc project assigned by senior management



•             Degree holder in Laws or related disciplines

•             Minimum 5 years legal or compliance experience gained from sizable financial institutions

•             Familiar with SFC regulations and other relevant legal and regulatory requirements

•             Excellent written and verbal command of English and Chinese, fluency in Putonghua

•             Strong organizational skills, good presentation and report writing skills

•             Reliable with high integrity and responsibility, strong commercial sense and meticulous with good inter-personal skill

•             Candidates with less experience will be considered for a Compliance Officer level role