Your new company

Our client, a well-known securities firm, is looking for a new teammate to join their regulatory compliance team.

Your new role

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  Assist in ensuring compliance with applicable laws, regulations, and internal policies, including SFC, HKEX, AML/CFT, and other regulatory requirements.
  
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  Perform compliance monitoring activities and assist in identifying potential regulatory or compliance risks.
  
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  Assist in the preparation and submission of regulatory reports, returns, and filings.
  
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  Monitor regulatory developments and support the implementation of regulatory changes across business units.
  
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  Maintain accurate compliance records, registers, and documentation in accordance with regulatory standards
  

What you'll need to succeed

• Bachelor's degree in Finance, Accounting, Business Administration, Law, Risk Management, or a related discipline.
• 1-3 years of compliance, AML, regulatory reporting, risk management, audit, or related experience gained within financial services institutions; fresh graduates with internship experience will also be considered.
• Knowledge of Hong Kong regulatory requirements, including SFC regulations, HKEX rules, AML/CFT requirements, and relevant regulatory guidelines.
• Experience in compliance monitoring, regulatory reporting, compliance reviews, and maintaining compliance documentation is an advantage.

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.

If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion about your career.