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Senior Compliance Officer

Hong Kong
Job Type
8 Sep 2022

Duties & Responsibilities:

  • Provide support in various compliance functions to ensure full compliance with regulatory requirements.
  • Interact with internal & external parties to respond to any compliance related queries that may arise.
  • Manage KYC and AML onboardings and refreshes with vendors and counterparties.
  • Maintain and review company s policies, procedures, and practices to ensure compliance with applicable laws and regulations.
  • Conduct Code of Ethics related compliance reviews and monitor business activities in accordance with regulatory and internal requirements.
  • Perform ad-hoc assignments as required.


  • Hold a degree or professional qualification in Legal, Economics, Finance, Accounting or related disciplines.
  • 3-5 years compliance experience in finance industry, preferably in SFC regulated institutions.
  • Working knowledge of securities laws and regulations in Hong Kong, with a good understanding of business compliance tasks including KYC, AML, third party due diligence tasks and licensing applications, etc.
  • Experience with Bloomberg, EzeSoft, Wind, or other OMS/Candidate with experience in OMS systems is desirable but not a must.
  • Proficiency in MS Office applications and English and Chinese word processing.
  • A good team player, mature, responsible, detail minded, with the ability to handle multiple tasks independently under pressure.
  • Prior experiences in investment compliance will be a plus.
  • Good communication and organization skills.
  • Good command in written and spoken English and Chinese.
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  • Job Reference: 707119993-2
  • Date Posted: 8 September 2022
  • Recruiter: CSOP Asset Management Limited
  • Location: Hong Kong
  • Salary: On Application
  • Sector: Banking & Financial Services
  • Job Type: Permanent