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Senior Compliance Officer

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Winifred Tsang

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    4 months ago

  • Expiry date:


  • Startdate:


My client is one of the largest regional brokage firms with branches across Asia, Europe, and America. They are currently looking for a senior compliance officer to establish and oversee compliance policies for its securities service.

As a senior member of the team, you will work closely and directly report to the head of legal & compliance of the group.

This is an exciting opportunity for candidates with over 5 years compliance experience within securities firms to step into a large, fast-growing and stable platform.  



  • Develop, implement, and monitor compliance policies to support Hong Kong branches operations.
  • Provide consultations to local, China and overseas offices on compliance policies and regulations.
  • Ensure branches operations align with local regulatory institutions.
  • Handle enquiries from internal and external parties.



  • Degree holder in Law, Finance, Accounting, Business are preferred.
  • Minimum 5 years compliance related experience, preferably in securities brokerage firm or sizable banks.
  • Knowledgeable in SFC and HKEX rules and regulations.
  • Proficient in written and spoken English and Mandarin.


For interested parties, please contact Winifred at +852 2777 6277 or for further discussions.