JOB OPPORTUNITIES

 

Job Title: Associate Compliance Consultant

 

Key Responsibilities

1. Handle SFC licensing‑related matters;

2. Provide advisory and consultancy services to clients subscribed to our Ongoing Compliance Support Service;

3. Review and prepare operational procedures, internal policies, compliance manuals and other relevant documents;

4. Perform any other ad‑hoc duties as assigned.

 

Requirements

1. Degree holder in Business Administration, Finance, Economics, Accounting, Law or related disciplines;

2. Advanced studies in Compliance / Corporate Governance / AML are preferred;

3. Basic understanding of Hong Kong financial market; familiarity with HKSI Licensing Examinations (Paper 1, 2, 6, 7, 8 & 12), SFC Code of Conduct, SFC Licensing Handbook, Fit and Proper Guidelines, AML Guidelines and other regulatory materials;

4. Minimum 1‑2 years of working experience as in‑house compliance officer within financial institutions, or as external compliance consultant at consulting firms;

5. Prior experience liaising with SFC, HKEx, HKMA, Customs and Excise Department, Insurance Authority, audit bodies or other local / overseas regulators is a strong advantage;

6. Proficiency in spoken and written English and Chinese (Cantonese & Putonghua);

7. Strong communication, analytical and interpersonal skills;

8. Proficient in Microsoft Office Suite (Excel, Word, PowerPoint);

9. Bright‑minded, energetic, knowledge‑hungry, achievement‑oriented, self‑motivated, hard‑working and meticulous.

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