Compliance Asisstant

Act as the company's RO for SFC Type 1 (securities trading) & Type 4 (providing advice on securities) & Type 9 (asset management), ensuring that the holding business complies with relevant regulations and risks are controlled.

Job Requirements

License: Within the past 6 years, with at least 3 years of SFC license practical experience (1, 4, and 9 categories), those with RO appointment or who have already met the RO conditions are preferred; those who need to apply for a license are required to cooperate.

Professional experience: Have **client asset management/supervision (Client Assets) **practical experience (asset custody, segregated accounts, customer money management, daily/monthly reconciliation, difference handling)

Regulatory knowledge: Familiar with Hong Kong's relevant laws and guidelines (such as ethical standards, customer asset rules, fund manager ethics, AML/CFT, personal information/data protection).

Language: Mandarin fluent, good Chinese and English reading and writing abilities.

Education: Bachelor's degree or above, finance/ accounting/ law/ risk control and other professional qualifications are preferred.

Trust/escrow agency, asset management company, RO or core compliance position with brokerage background.

Private equity/family office/cross-border structures, QDII/QFII, foreign exchange and derivatives compliance experience.

Internal audit, external audit or large consulting/law firm compliance project experience.

Salary and benefits

Monthly salary HKD 60,000 or above, with a competitive bonus system.

Medical insurance, statutory annual leave and extra holidays, professional training/relicensing assistance.

Stable platform and clear promotion path.

Compliance statement (it is recommended to keep)

Applicants must meet the SFC's "Fit and Proper" requirements, with no major disciplinary sanctions or improper conduct records in the past.

Pre-employment may require background checks and character recommendations, academic qualifications/license verification.