Compliance Officer



  • Handle SFC licensing matters, notification, annual return, survey and other ad hoc report as required;
  • Handle inquiries and requested from HKEX, SFC and other regulators;
  • Handle daily KYC and transaction enquiries from business teams and relevant stakeholders;
  • Handle any AML/CTF related ad-hoc projects as assigned;
  • Perform regular quality assurance and monitor filed work related to regulated activities;
  • Assist to prepare internal reports;
  • Perform ad hoc audit assignments as assigned.



  • Degree holder in any disciplines;
  • At least 1 year or above relevant experiences ;
  • Accountancy with CPA, CFA or related professional qualification is preferable;
  • Sound knowledge of SFO, securities trading operation, internal control system and risk management is an advantage;
  • Proficient in written and spoken English and Chinese.


We offer competitive remuneration package to the right candidates.

Application Methods :
Interested applicant should apply with detailed resume and present & expected salary and email to: or fax to: 2530 2218.

 All information collected will be used for recruitment purpose only.

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Account Opening Online Customer Service