• Provide practical and accurate compliance advice to business such as Retail and Institutional Brokerage, Wealth Management, Research and Global Markets business
  • Assist senior compliance management to advise business stakeholders on AML/CFT related enquiries and matters
  • Assist senior compliance officer to conduct internal investigation and draft conclusion report
  • Conduct periodic and ad hoc review of internal policies and procedures in light of evolving regulatory environment
  • Collaborate closely with internal stakeholders for implementation of compliance related projects
  • Handle regulatory requests, enquiries and examinations in a proper and timely manner
  • Deliver ongoing internal training to promote compliance culture as appropriate


  • Self-motivated, able to work independently and collaboratively in a highly dynamic environment
  • Sound knowledge in rules and regulations administered by the SFC, compliance best practices, financial products as well as securities business
  • Strong analytical skills with ability to make prompt and accurate recommendations
  • Good interpersonal and communication skills
  • Degree holder in Law, Accounting, Finance, Business Administration or related discipline
  • Three-year solid work experience in regulatory, AML or brokerage compliance preferably in Chinese financial institutions or regulatory bodies
  • Proficiency in both written and spoken English and Chinese (including Mandarin)
  • Immediately available is highly preferred

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salaries and date of availability to Human Resources Department by email (

All applications will be treated in the strictest confidence and personal data collected will be used for recruitment purpose only.