Senior Compliance Consultant

Job title: Senior Compliance Consultant

Company: Compliance Consulting Limited


Job description: Compliance Consulting Limited was established in 2003, and is the first financial services consulting company in Hong Kong, offering regulatory and compliance advisory services to financial intermediaries. Our clients include brokerage houses, futures trading companies, corporate finance advisors, funds trading platforms, independent financial advisors, asset management companies and private equity firms.Job Responsibilities

• Provide ongoing compliance advice to our retainer clients
• Assist client in handling on-boarding procedures, including performing AML/ KYC related matters
• Handle enquiries from regulators e.g. SFC, HKMA and HKEx
• Handle corporate licensing applications
• Develop, maintain and implement compliance plans, manuals, policies and procedures for licensed corporations engaging in different regulated activities
• Develop compliance training materials
• Handle ad hoc tasks as assigned

Job Requirements

• University graduate (preferably in Law or Accountancy), professionally qualified would be an advantage;
• At least 3 years’ solid compliance experience in sizeable financial intermediaries or regulator;
• Familiar with the Securities and Futures Ordinance and Codes and Guidelines issued by the Securities and Futures Commission;
• Well organized, self-motivated and good interpersonal skill; and
• Good command of spoken and written English, Cantonese and Mandarin.

Expected salary:

Location: Hong Kong

Job date: Tue, 13 May 2025 22:55:35 GMT

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