Compliance Officer

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • CSOP Asset Management Limited
  • 23 Sep 18 2018-09-23

CSOP Asset Management Limited is seeking to hire a Compliance Officer to join their expanding Legal & Compliance Department.


  • To strengthen the regulatory compliance in both fund level and company level
  • To assist the department to achieve its goal to ensure the Company is in compliant in all aspects of its business

Duties & Responsibilities

  • Provide support in all compliance function to ensure full compliance with regulatory requirements
  • Assist in the implementation of compliance projects
  • Maintain and review company’s policies, procedures and practices to ensure compliance with all applicable laws and regulations  
  • Conduct compliance review and monitor business activities in accordance with regulatory and internal requirements 
  • Perform ad-hoc assignments as required


  • Holds a degree or professional qualification in Legal, Economics, Finance, Accounting or related disciplines
  • Minimum 1 year compliance experience in finance industry, preferably in SFC regulated institutions
  • Working knowledge of securities laws and regulations in Hong Kong, with a good understanding of business compliance tasks including KYC, third party due diligence tasks and licensing application, etc.
  • Familiar with Bloomberg, MS Office applications and Chinese word processing
  • A good team player, mature, responsible, detail minded, with the ability to handle multiple tasks independently under pressure 
  • Good communication and organization skills
  • Good command in written and spoken English, Cantonese and Chinese

For interested parties, please kindly click on the APPLY button to send us your updated CV with current and expected salary