Senior Compliance Officer - FICC Senior Compliance Officer - FICC …

Gravitas Recruitment Group
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 29 May 20
Up to GBP0.00 per annum
Gravitas Recruitment Group
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 29 May 20
Up to GBP0.00 per annum
Our client is a leading Chinese Securities company with a rapidly growing business in Hong Kong. Due to successful ongoing growth they are now searching for a young, proactive talent to join their Compliance team. The successful candidate will be playing a key role in providing compliance coverage for business functions (such as Sales & Trading, Asset Management etc). This is a good opportunity for a responsible team player who is at the beginning of their career in Compliance to become a Compliance professional while working on challenging duties and accumulating knowledge on an extensive range of investment products.


  • Conduct daily FICC business advisory - provide advice to business on compliance issues regarding new products, transactions, errors, etc.
  • Assist to maintain of control documents including compliance manuals and internal guidelines
  • Conducting regular compliance reviews, surveillance, and investigation on Compliance framework including investment suitability, business activities, cross border review, sales process, AML etc.
  • Handle enquiries from the regulatory authorities and other departments on compliance related issues
  • Independently work on or coordinate within a small team on daily compliance duties
  • Identify and manage regulatory risks
  • Handle ad hoc assignments related to compliance issues


  • Degree holder in Economics, Finance or related disciplines
  • 3 years' experience in the compliance of financial institution
  • Sound knowledge of the Securities and Futures Ordinance (SFO) and its subsidiary rules, rules and guidelines of the Securities and Futures Commission
  • Previous exposure or knowledge on FICC, private funds, asset management, corporate finance
  • Solid experience in handling enquiries from local regulators
  • Detail-oriented and highly motivated mindset
  • Fluency in English and Chinese both in written and verbal, proficiency in Putonghua is a plus
  • More experience will be considered as Senior Officer

What's On Offer

  • Offer attractive remuneration package and comprehensive fringe benefits
  • Rapidly growing business, young team
  • Excellent career path and great coverage for a wide range of products

Contact: Ruby So

For an initial confidential discussion please contact Ruby So at +852 3907 0744. You can also email your most updated CV to