Securities Compliance - Analyst to Associate level (1-4 years exp)

  • Competitive with Discretionary Bonus
  • Hong Kong
  • Permanent, Full time
  • JAC International.
  • 14 Nov 18

Our client, a leading Securities firm, is now looking for compliance professionals to join their team.

Key Responsibilities

  • Handle SFC regulatory issue including enquiries and licensing;
  • Disseminate the important updates and relevant circulars from the regulator(s) to relevant stakeholders and discuss the matter with managers when it is necessary;
  • Assist to review, update or comment on business-related manual and procedure to ensure the compliance with the local regulatory requirements;
  • Prepare trade monitoring report and compliance hearing report on a regular basis;
  • Provide compliance-related guidance to business unit;
  • Manage internal procedures in relation to local/foreign related regulations including Material Non Public Information (MNPI), Conflict of Interest COI and Firewall for monitoring purpose;
  • Provide induction compliance training to new staff;
  • Monitor CPT hours for licensed staff;
  • Manage, record and approve staff dealing;
  • Manage internal documentations and keep records on various internal rules;
  • Assist in ad-hoc projects as assigned


  • University degree preferably in law, economics, finance, accounting or related disciplines
  • 1-4 years of solid and relevant experience in Finance (preferably brokerage firm) or Banking industries with good understanding of SFC regulatory framework
  • Good interpersonal and customer service skills.  Ideally a candidate who is capable of being a good team player, and being able to work together with other functions
  • Good command of spoken and written English and Chinese (including Putonghua)
  • Attention to detail, accurate, responsible, independent, proactive, and customer-oriented
  • Able to multi-tasking, determine priorities, and meet deadlines in a fast-paced business environment
  • Proficient in Microsoft Office (Words, Excel, PowerPoint, Outlook) 

Interested candidates, please kindly send your detailed resume in WORD format including:

1) Current and expected salary
2) Availability

directly and

Personal data collected will be used for employment-related purpose only. We regret that only shortlisted candidates will be notified, thank you.