Compliance Officer - Advisory Compliance

Job Summary

We are seeking a dedicated and experienced Compliance Officer to join our team. The ideal candidate will provide day-to-day compliance advisory to various business units, handle compliance-related projects, and contribute to business planning and processing. This role requires over 10 years of experience in a sizeable SFC-regulated financial institution, with solid expertise in providing compliance advisory services.

Key Responsibilities

• Manage and oversee compliance-related projects, ensuring full adherence to applicable regulatory requirements

• Handle compliance advisory matters raised by different stakeholders, including but not limited to regulatory standards and marketing materials

• Develop and implement compliance policies, procedures, controls, and ongoing monitoring programs

• Provide guidance and support to various departments on compliance matters

• Liaise with regulatory bodies and ensure timely and accurate regulatory reporting

• Stay abreast of regulatory developments and ensure the organization’s compliance framework remains current and effective

• Acting as Deputy Head to support the Head of Legal & Compliance in handling assigned matters

• Bachelor’s degree in law, Finance, Business, or a related field

• Over 10 years of relevant compliance advisory experience within a sizeable SFC-regulated financial institution

• Strong understanding of global financial markets, with solid knowledge in Hong Kong and U.S equities & options, China A/H shares, ETFs, derivatives, and cross-border investment products

• Experience in supervising staff is preferred

• Excellent analytical and problem-solving skill

• Strong communication and interpersonal skill

• Ability to work independently and as part of a team

• Detail-oriented with a high level of accuracy