Job Details
  • Reference19665_1616465755
  • LocationHong Kong
  • SalaryNegotiable
  • Job TypeContract
  • Posted19 days ago
  • ConsultantCosmo Chau


  • Engage with businesses to conduct investigations on breaches of regulations and rules and proceed with disciplinary proceeds
  • Help with the implementation of new policies and procedures, to update current policies and procedures in response to recent changes in laws and regulations
  • Do regular compliance reviews with the monitoring and testing team to guide their reviews on market surveillance
  • Lead and manage the internal policies and procedures of the firm
  • Participate and interact in meetings in local and overseas regulators, market participants and internal teams


  • More than 6 years of experience in Compliance, or related fields such as legal preferably in Equity/Equities Derivatives Compliance
  • University degree in Business Administration, Law or related disciplines
  • Strong Knowledge in regulatory requirements and typical compliance procedures in relation to sales and trading
  • Strong command of written and spoken English and Chinese (Putonghua is required)
  • Excellent analytical skills and communication skills

Interested parties please click "Apply Now" or contact Cosmo Chau on +852 2833 4113 for more information.