Carter Hong Kong H

Compliance Officer (BB-B8312)

Found in: Neuvoo Premium HK

¨ Assist in monitoring daily trading activities
¨ Assist in carrying out regular compliance check at front, middle and back offices
¨ Assist in reviewing, revising and drafting internal manuals, policies and procedures to ensure in compliance with rules and regulation of the SFC and HKEx
¨ Assist in liaising with regulators, legal consultants ¨ Assist in handling inquiries from regulators, e.g. the SFC and HKEx, and listing companies
¨ Assist in conducting AML/KYC checking and other necessary investigations
¨ Assist in CRS reporting
¨ Assist in preparing compliance training to staff ¨ Perform ad hoc assignment as required Requirements:
¨ Degree holder in finance, law or related disciplines is preferable with minimum 2-year relevant experience ¨ Familiar with rules and regulations of the SFC and SEHK
¨ Able to work independently, self-motivated with strong sense of responsibility and analytical mind ¨ Good command of English, Cantonese, and Mandarin
¨ Proficiency in MS Word, Excel

If you would like to apply for this role or find out more, please apply online or contact Kaylen Chan at Aston Carter on +852 3473 3165 or

calendar_today8 hours ago

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