Compliance Officer - Interdealer Broker

To support the Head in handling trade surveillance related and regulatory compliance matters.

Your new company
Market leader in the financial industry with exposure around the globe, well known for its creative and dynamic approach targeting a wide spectrum of businesses. With the diverse background and solid business foundation, the large-scale institution is expanding its Compliance sector and Hong Kong branch. Determined to look for insightful and innovative individuals to contribute ideas related to Compliance.

Your new role
Utilising your understanding and interest in Compliance, you are responsible for navigating trade surveillance issues and SFC licensing. You will be working closely with the updates on regulations in both the Hong Kong and global market. The participation of compliance project with the subsidiaries is also expected.

What you'll need to succeed
  • At least 1 year of experience in regulatory compliance (SFC)
  • Prior experience with handling individual and corporate licence will be highly preferable
  • Experience with trade surveillance is preferred
  • Good command of both spoken and written English and Chinese
  • Willingness to learn and open to new experience

What you'll get in return
  • Opportunity to join and establish the growing branch
  • Opportunities to work with experienced compliance specialists within the field
  • Involvement in regional compliance and trade surveillance projects
  • Promising career prospect

What you need to do now
If you are currently looking for a new role within the Banking and Financial Services AML/Compliance function, or potentially exploring the market? Feel free to contact myself on +852 2230 7439 for a confidential discussion, and send me your CV to or visit our Banking page here: #1228033


Job Type
Banking & Financial Services
Banking and Financial Services

Talk to a consultant

Talk to Obe Kau, the specialist consultant managing this position, located in Hong Kong
6604-06,66/F, ICC, 1 Austin Road West, West Kowloon

Telephone: +85222307439