Senior Associate/Associate- Compliance and Legal Affairs Department

Job title: Senior Associate/Associate- Compliance and Legal Affairs Department

Company: Yue Xiu Securities Holdings Limited


Job description: We offer attractive remuneration package, 5-day work, competitive fringe benefits (wedding leave, body check, group medical insurance, dental insurance etc.) and excellent career development opportunity to the right candidate.ResponsibilitiesHandle SFC licensing application and CPT recordsReview and draft proceduresProvide constructive compliance solution and advice to Types 1,4,6,9 businessesConduct compliance review including staff’s personal account dealing on regular basisMonitoring & surveillance of clients’ trading activities and anti-money launderingAssist in handling SFC inquiries related to s.181 & s.182Participate in any ad-hoc projects and internal investigaton(s) and drafting reports in ChineseFostering strong relationships with other front and back office functions to optimize efficiency.General Knowledge of FATCA and CRSPerform other duties as assigned from time to time by the Head of ComplianceRequirementsDegree holder in Law / Finance or related disciplines;At least 3-5 years compliance experience in the financial services industry or with regulatory bodies.Good knowledge of SFC regulations / guidelines and market practicesGood command of written and spoken English and Chinese (including Putonghua)Ability to work independently and under pressureInterested parties please send CV, to the Human Resources Department by clicking “APPLY NOW”.Applicants not invited for interviews within six weeks may consider their applications unsuccessful. Our Company is an equal opportunity employer. Personal data collected will be used for recruitment purpose only.All information provided will be treated confidentially.All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

Expected salary:

Location: Wan Chai, Hong Kong

Job date: Tue, 26 Aug 2025 07:51:57 GMT

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